HS 328 INVESTMENTS EXAM WITH COMPLETE SOLUTIONS

HS 328 INVESTMENTS EXAM WITH COMPLETE SOLUTIONS
Question : Which of the following advisors must register
with the U.S. Securities and Exchange Commission
(SEC)?
A)
An advisor who sells insurance products
B)
An advisor who is registered with his or her state
securities regulator
C)
An advisor who manages over $100 million in assets
D)
An advisor who declines to be regulated by FINRA
Correct answer: C)
An advisor who manages over $100 million in assets
Question : Harold would like to purchase shares of a
large, established company. He will most likely make his
purchase

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