The Investment Advisors Act of 1940

question 30

Multiple Choice

The Investment Advisors Act of 1940

• A) contains various anti-fraud provisions and record keeping and reporting requirements for fund advisors.
• B) regulates broker-dealers.
• C) requires federal registration of all public offerings of securities.
• D) regulates the structure and operations of mutual funds.
• E) contains a code of ethics and standards of professional conduct.

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Definitions:

Encourage

To give support, confidence, or hope to someone.

Mary Ainsworth

A developmental psychologist known for her work in early emotional attachment with the "Strange Situation" assessment.

Sensitive

Having a heightened awareness of, and responsiveness to, the emotions and needs of others or oneself.

Securely Attached

A term from attachment theory describing individuals who have healthy, trusting relationships, often stemming from positive early life experiences.