Fiduciaries Study guides, Class notes & Summaries
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Law of Agency – Champions Exam Questions with correct Answers
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Which of the following has the authority to suspend or revoke a Texas real estate license? - Answer- TREC 
 
Which of the following is an element of a listing agreement? - Answer- the agreement to pay a stated commission, usually a percentage of the sales price 
 
the IRS considers which of the following a violation of independent contractor status? - Answer- salesperson is told to work set hours, guaranteed a monthly minimum wage, has his licensing fees paid by the broker 
 
the TAR buyer repre...
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CPFA (Actual) Exam 2022/2023 Solved 100% Correct (Set of 162 questions)
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Under the DOL regulation, many advisors to retirement plans and their 
participants will be - ANSWER-3(21) fiduciaries. They will act 
alongside other fiduciary service providers who are also not necessarily 
named in the plan document but who exercise discretionary control over 
plan provisions or plan investments.
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Series 79 Knopman Marks question n answers 2024
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Series 79 Knopman Marks 
deferred tax asset or liability? Acceleration of revenue for accounting purposes - correct answer Deferred tax liability 
 
Source or use of cash? Decrease in accrued liabilities - correct answer Use of Cash 
 
Source or use of cash? Improvement in net working capital - correct answer Use of cash 
 
Purpose of a Schedule 13F - correct answer A 13F is a quarterly filing by Institutional Investment managers to disclose long equity positions 
 
Disclosure document used to g...
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CPFA Exam Study Guide | 162 Questions with 100% Correct Answers | Verified | 28 Pages
- Exam (elaborations) • 28 pages • 2023
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Under the DOL regulation, many advisors to retirement plans and their participants will be - 
3(21) fiduciaries. They will act alongside other fiduciary service providers who are also not 
necessarily named in the plan document but who exercise discretionary control over plan 
provisions or plan investments. 
The advisor should educate the - plan sponsor about hiring fiduciary service providers, 
including the different roles service providers, including the different roles service providers may...
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CPFA License Exam- (Certified Plan Fiduciary Advisor) (Online Practice Questions) with Answers.
- Exam (elaborations) • 7 pages • 2023
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What are the 4 basic fiduciary standards under the Fiduciary Standard of Care? (Section 404) 
1.) Loyalty - (Exclusive purpose rule - Providing benefits to participants and their beneficiaries; and defraying reasonable expenses of administering the plan) 
2.) Prudence - (Act with prudence by investigating before making any plan decisions, documenting the decision-making process, hiring experts when they don't possess the knowledge or skills to make a decision, and monitoring if their decisions ...
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CPFA License Exam- (Certified Plan Fiduciary Advisor) (Online Practice Questions)
- Exam (elaborations) • 4 pages • 2023
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What are the 4 basic fiduciary standards under the Fiduciary Standard of Care? (Section 404) - Answer- 1.) Loyalty - (Exclusive purpose rule - Providing benefits to participants and their beneficiaries; and defraying reasonable expenses of administering the plan) 
2.) Prudence - (Act with prudence by investigating before making any plan decisions, documenting the decision-making process, hiring experts when they don't possess the knowledge or skills to make a decision, and monitoring if their d...
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CPFA Exam Study Guide Questions with 100% Correct Answers | Verified | Latest Update
- Exam (elaborations) • 29 pages • 2024
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Under the DOL regulation, many advisors to retirement plans and their participants will be - 
3(21) fiduciaries. They will act alongside other fiduciary service providers who are also 
not necessarily named in the plan document but who exercise discretionary control over plan 
provisions or plan investments. 
The advisor should educate the - plan sponsor about hiring fiduciary service providers, 
including the different roles service providers, including the different roles service providers may...
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CPFA exam Study Guide.
- Summary • 16 pages • 2023
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Under the DOL regulation, many advisors to retirement plans and their participants will be - 
 3(21) fiduciaries. They will act alongside other fiduciary service providers who are also not necessarily named in the plan document but who exercise discretionary control over plan provisions or plan investments. 
 
The advisor should educate the - 
 plan sponsor about hiring fiduciary service providers, including the different roles service providers, including the different roles servi...
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NAB RCAL LAW Exam 2023 Questions with 100% correct Answers
- Exam (elaborations) • 7 pages • 2023
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Equal Pay Act of 1963 - ️️Enforced by EEOC. Prohibits discrimination in pay 
practices. Equal Pay for Equal Work. 
Title VII - Civil Rights Act of 1964 & 1991 - ️️Enforced by EEOC. Prohibits 
discrimination based on: Race, Sex, Religion, Color, National Origin. In a discrimination 
suit, the EMPLOYER must prove that discrimination was not a factor in a personnel 
decision. 
Age Discrimination Act - ️️Protects >40. Prohibits forcible retirement. 
OHSA - ️️Requires employers to ...
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CPFA Exam Questions with 100% Complete Solutions.
- Exam (elaborations) • 15 pages • 2023
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Under the DOL regulation, many advisors to retirement plans and their participants will be Correct Answer 3(21) fiduciaries. They will act alongside other fiduciary service providers who are also not necessarily named in the plan document but who exercise discretionary control over plan provisions or plan investments. 
 
The advisor should educate the Correct Answer plan sponsor about hiring fiduciary service providers, including the different roles service providers, including the different rol...
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