Question

Registration of an investment adviser with the SEC is accomplished by: Answers:       A. Filing FORM U-4....

Registration of an investment adviser with the SEC is accomplished by:

Answers:      

A. Filing FORM U-4.

B. Passing a competency test.

C. Filing FORM ADV.

D. Becoming a CFP.

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Answer #1

Solution:

Registration of an investment adviser with the SEC is accomplished by:

Right Option is C. Filing FORM ADV.

Under the Investment Advisers Act of 1940, investment advisers must register using Form ADV accompanied by a relatively modest fee. Form ADV will include the information such as educational background, experience, exact type of business engaged in, assets, information on clients, history of a legal and criminal nature, and type of investment advice to be offered.

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