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a registered investment adviser with 25 clients in state a is expanding its operations to states b, c, and d. it currently has 6 clients in state b, but has not opened an office in that state. it currently has 3 clients in state c, where a small office has been opened. it has 5 clients in state d, and is considering opening an office there. in which states is the ria required to register?

Respuesta :

'States A, B, and C' is the correct answer.Because its offices are situated in States A and C, the RIA must register in those states. Its absence there has nothing to do with this.

What exactly is a registered investment adviser?

A registered investment manager is a company that operates as an investment adviser in the United States and is registered with the the Securities and Exchange Commission (SEC) or a state securities agency (RIA). The Investment Advisers Act of 1940, which made several citations to RIAs, contributed to the phrase's prominence. It is closely related to the term investment adviser. An investment adviser is defined by the the Securities and Exchange Commission as a person or corporation who specializes in providing securities advice.

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