An investment adviser is registered in both state a and state b, and its principal office is in state b. state a would be allowed to do all of the following except:

Question

asked Apr 1, 2020 219k views

1 Answer

Angel Deykov · Answer 1 · 2020-04-05T15:52:53+0000

Answer and Explanation:

The question is incomplete, therefore, I will list down all of the things State A would be allowed to do:

-Review the investment advisers books and record in both the State i.e State A and State B.

-Requiring to file the sales and advertisement literature in State A.