Business, 23.09.2019 20:10 aweller3898

An investment advisory firm provides each of their clients with a written contract detailing, among other things, the services to be provided, the fees to be charged and the procedure for handling early terminations. in addition, the contract provides that the clients waive their right to sue in the event that the ia violates any provision of the uniform securities act. under nasaa's model rule dealing with unethical business practices of investment advisers, investment adviser representatives, and federal covered advisers,
a)the contract is only enforceable if signed by the client
b)the contract is misleading and could lead to action by the administrator
c)the firm has met the requirements of providing a written contract
d)waivers of this type are never permitted

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An investment advisory firm provides each of their clients with a written contract detailing, among...

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