The Best Way to Record a Client Interview Is to

question 136

Multiple Choice

The best way to record a client interview is to

• A) take notes.
• B) tape record it.
• C) have the client sign a written statement.
• D) videotape it.

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Material Misstatements

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SEC Rule 504

SEC Rule 504 of Regulation D allows certain small businesses to offer and sell up to $5 million of their securities in any 12-month period without having to register the securities with the SEC.

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