According to the Investment Advisers Act of 1940, which of the following statements regarding registration of investment advisers is TRUE?

According to the Investment Advisers Act of 1940, which of the following statements regarding registration of investment advisers is TRUE?


State registration is a requirement for federal registration.

An investment adviser must be registered with the SEC to be registered at the state level.


A) Both I and II.

B) II only.

C) Neither I nor II.

D) I only.



Answer: C) Neither I nor II.


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