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NEW QUESTION: 1
Which of the following persons would not fall under the definition of "investment adviser," under federal
guidelines?
A. a Denver-based, broker-dealer that is registered as a broker-dealer with the SEC and provides
investment advice to members of the Denver Broncos, the Colorado Rockies, the Denver Nuggets, and
the Colorado Avalanche organizations in exchange for box seats at their games. No monetary
compensation is expected or given.
B. None of the above would fall under the definition of "investment adviser," as defined by the Investment
Advisers Act of 1940.
C. an individual who advises only Oprah Winfrey on her investment portfolio and receives a nice salary for
doing so
D. an individual who works as an agent for a broker and occasionally gives investment advice to clients
who request it, but receives no additional compensation for doing so
Answer: D
Explanation:
An individual who works as an agent for a broker and occasionally gives investment advice
to clients who request it, but receives no additional compensation for doing so would not fall under the
definition of "investment adviser," under federal guidelines. In 1987, Release IA-1092 expanded the
definition to include individuals providing investment advice to entertainers or athletes, among others. The
compensation need not be monetary. Box seats at athletic events would be considered compensation for
advisory services.

NEW QUESTION: 2

A. Option D
B. Option A
C. Option C
D. Option B
Answer: C,D

NEW QUESTION: 3
Die Durchführung einer Lückenanalyse ist eine Schlüsselaktivität in welchem ​​Teil des Deming-Zyklus zur Verbesserung der Services und Service-Management-Prozesse?
A. Planen
B. Akt
C. Tun
D. Überprüfen
Answer: A

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