Which of the following statements is NOT true?

Which of the following statements is NOT true?


A broker/dealer must be a firm or corporation (legal person) as opposed to a natural person (human being).

An investment adviser must be a firm or a corporation as opposed to a natural person.

An investment adviser representative (IAR) cannot, under any circumstances, be employed by a registered broker/dealer.


A) I and II.

B) I and III.

C) II and III.

D) I, II and III.



Answer: D) I, II and III.


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