IACCP-NRS EXAM (MASTER QBANK) WITH VERIFIED ANSWERS

IACCP-NRS EXAM (MASTER QBANK) WITH VERIFIED ANSWERS Assignment - Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor Who is not an Investment Advisor? - A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his profession, Broker-dealer (commission only)published of any bona fide newspaper, magazine, business publication, rating systems (Moody’s, etc.) What does it mean when someone has "Control"? - Power to exercise a controlling influence over the management or policies of a company Investment supervisory services - Giving of continuous advice as to the investment of funds on the basis of the individual needs of each client. National securities exchange - an exchange registered under section 6 of the Securities Exchange Act of 1934