An SOA Is Not Required in Circumstances Including

question 17

Multiple Choice

An SOA is not required in circumstances including:

• A) when providing personal advice to clients having a relatively small amount of funds to invest (less than $15,000).
• B) where the advice does not involve the purchase of a financial product and where the entity providing the advice does not receive any remuneration.
• C) both a and b
• D) none of the above.

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Definitions:

Starting To Date

The process of initiating romantic relationships, often characterized by social activities with a potential partner.

Learned Helplessness

A condition in which a person becomes passive and unable to take action to control or avoid harmful situations after experiencing a series of uncontrollable events.

Inescapable Electric Shocks

Refers to a controlled laboratory scenario often used in research to study the effects of perceived control over stressors, associated with learned helplessness.

Seligman

Refers to Martin E.P. Seligman, an American psychologist known for his work on learned helplessness, depression, optimism, and positive psychology.