Your IA firm is headquartered in Louisiana and has $75MM of AUM, including one client which is a registered investment company under the Act of 1940.  In accordance with NSMIA and the Dood-Frank Wall St. Reform Act, your firm is:

Under the Uniform Securities Act, all applicants for registration are:

In accordance with the Uniform Securities Act, unsolicited orders for unregistered non-exempt securities:

Under state securities laws, offerings of stock in an IPO by a corporation engaging in an intrastate offering will under registration by:

Recent regulations now require customers to complete a customer relationship survey to enable the firm to better serve the customer.  This CRS requirement applies to

Compute the net present value of a $50,000 lump sum amount three years from today assuming a discounted cash flow rate of 4%.

In those instances in which a 3rd party solicitor is used to market the services of an IA firm,

Under the Uniform Securities Act, which of the following are defined as ‘securities?’

I. Commodity options

II. CBOE option contracts

III. Whiskey warehouse receipts

IV. Fractional undivided interest in an oil or gas mining

A client’s private personal financial and other identification information:

When a Board of Directors distributes a stock dividend to shareholders, it is