Unit 10 Flashcards
1
Q
Who investment adviser representative of a federal covered investment adviser registers with
A
The Administrator
2
Q
What initial applications for registration must be accompanied by
A
Consent to service of process
3
Q
When an investment adviser representative not defined as such in a specific state
A
The individual is registered in State A as a representative of a state-registered adviser, has no place of business in any other state, and has fewer than six retail clients in State B
4
Q
Wrap fee
A
Comprehensive charge for all services provided by an investment manager or advisor
5
Q
A
