The Law That Requires Investment Advisers to Register with the SEC

question 101

Multiple Choice

The law that requires investment advisers to register with the SEC is the

• A) Investment Company Act of 1940.
• B) Investment Advisers Act of 1940.
• C) Maloney Act of 1938.
• D) Securities Act of 1933.

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Definitions:

Goal

An aim or desired outcome that a person or organization endeavors to achieve through concerted effort.

Approach-Approach Conflict

A psychological dilemma involving a choice between two positive or desirable options.

Risking Cash

Involves putting money at stake in a situation where there is a potential for loss, often seen in investments or gambling.

Game Show

A television or radio program where participants play games or answer questions to win prizes.