jaleenwallace7010 jaleenwallace7010

18-01-2024
Business

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Under the Uniform Securities Act, all of the following statements are TRUE regarding the requirements for investment advisers that have a place of business in a state, EXCEPT:
a) They must register with the state.
b) They must file financial reports.
c) They must have a written code of ethics.
d) They must pay an annual fee.

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