Under the rules of the Investment Advisers Act of 1940, trading in a client's account would be considered excessive if:

Under the rules of the Investment Advisers Act of 1940, trading in a client's account would be considered excessive if:


I. the investment adviser receives a commission from trading.

II. trading was conducted without considering the client's investment objectives.

III. trading is inappropriate in view of a client's resources.

A) I, II and III.
B) II and III.
C) I only.
D) II only.


Answer: B) II and III.


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