All of the following are SEC requirements related to a business continuity plan for a financial adviser, EXCEPT?

Question

02-01-2020
Social Studies

contestada

All of the following are SEC requirements related to a business continuity plan for a financial adviser, EXCEPT?

Respuesta :

Otras preguntas

Jonathan has a board 9 yards long. He cuts the board into 4 equal pieces to make a wooden frame for his window. What is the length of each piece?

What was the term Carbonari meant?

Select the value that make the inequality -C > 4 true. Then write an equivalent inequality, in terms of c (numbers written in order from least to greatest g

Why do humans have emotions

The ratio of boys to girls in a school iş 3: 2. If there are 600 boys in the school, find the number of girls.

How many different ways can 4 events be ordered?

What is 4 units away from (-6,2)

A snow cone vendor on the Virginia Beach boardwalk has several costs of doing business. She pays salaries of $2,100 per month and other fixed costs, such as uti

In what way does the setting of the story foreshadow what follows? Explain your answer in detail and provide examples.

how are you all? #mental health check

bogadu bogadu · Answer 1 · 2020-01-03T20:03:42+01:00

Answer:

[D] The plan should provide for investment alternatives to regular securities products in the event of economic collapse

Explanation:

Options A, B and C are all minimum requirements of the SEC business continuity plan for a financial adviser

The Security and exchange commission requirements of business continuity plans does not require an adviser to provide investment alternatives to regular securities products in the event of an economic collapse.