Kapco Advisers is a federal covered investment advisers with its principal office in New York City and several offices in New Jersey.Joe Segal, who lives in Manhattan, is an IAR with the firm and has the responsibility for serving those clients of Kapco who winter in Florida. In order to do so, Joe takes a hotel suite in Miami Beach for one week in December, in Boca Raton for one week in January, and in West Palm Beach for one week in February. While Mr. Segal is using these facilities to meet with existing clients, he does let them know that if they have any friends who might be interested in the firm's advisory services, they are welcome to make an appointment with him. Which of the following statements is correct regarding Mr. Segal's registration status under the Uniform Securities Act?-Because Joe is meeting with existing clients who are not permanent Florida residents, he does not have to register as an IAR in the state of Florida.-Because Joe is employed by a covered adviser, no registration is necessary in the state of Florida.-Because Joe is employed by a covered adviser, he is only required to register with the SEC.-Because Joe may be meeting with individuals who are not existing clients and may be Florida residents, he must be registered in the state of Florida as an IAR.

Answers

Answer 1

Answer:

Because Joe may be meeting with individuals who are not existing clients and may be Florida residents, he must be registered in the state of Florida as an IAR.

Explanation:

In the case shown in the above question, the IAR presents itself as a temporary installation, which is used only for quick meetings with customers, while the terms of contracts and arrangements are being discussed. However, as we can see in the text above, there is a place where businesses are managed in that state. For this reason, the IAR must be registered anyway.

It is important to note that KAPCO is officially an AI that has federal coverage, so a registration notice should be evaluated.


Related Questions

What do you understand by the "Projects of National Pride"

Answers

I cannot answer this question due to lack of information

Which of the following are roles of a political party?

Hire Policy Makers
Unite levels of Government
Collect Fees
Inform Citizens
Create Balance

Answers

Answer:

Hire policy makers, inform Ciizens and Create balance

Explanation:

im not sure tho

Answer:

a

Explanation:

In the fall, Professor Cole remembered the names of his 44 students. Now, in the spring, he has learned the names of his 42 new students. When Professor Cole ran into one of the students from the fall class, he could not remember the student's name. He could think only of the names of students in his spring class. This is most likely due to ________. Group of answer choices

Answers

Answer:

Retroactive interference.

Explanation:

Retroactive interference is when an individual forgets the previously learned tasks or previous memory due to the acquiring of a new task or new memory. This means that a person's inability to remember previous memories after learning a new task or making new memories is known as retroactive interference.

In this type or form of interference, the mind refuses to 'allow' the person from remembering previous memories or tasks, blinding them with the new ones. Thus, when Professor Cole remembered only the names of his spring class and not that of the previous class's names, it can be called a case of retroactive interference.

who is current prime minister of nepal ??

Answers

Answer:who is current prime minister of nepal ??

=⟩ Sher Bahadur Deuba is the current prime minister of Nepal .

Hope it is helpful to you ❣️☺️☪️☘️❇️❇️☘️☪️☺️❣️

Can someone explain to me

Answers

Answer: When I see people discuss economics what rings in my mind is how they seek ways to manage their resources to fit their plan.

Explanation:

Economics to me simply implies managing situations to turn out better. When you have so many options and you have to choose from the to get the best out of the situation in the market or financial sense is what economics means to me.

When I see people discuss economics what rings in my mind is how they seek ways to manage their resources to fit their plan. To get the best, which won't affect the rest but have a balance

Define a service in economics

Answers

Answer:

A service is a transaction in which no physical goods are transferred from the seller to the buyer. An example of this would be doctor or a made/butler

Hope this helps <3 Need thanks? Comment /hearthelp

How is the ethnic diversity of your community/Nepal an important resource for the country?​

Answers

Answer:

Nepal is a pluralistic- multi-cultural, multi-religious, multi-lingual, and multi ethnic's country. It is a country of highly diverse traditions and unique and cosmologies. For example, the different languages and cultures number well over one hundred and all are pervasive.Jan 14, 2020

can someone pls tell me what is ROC in the olympics.. I mean Ik it’s Russia but why is it roc and what happened

Answers

Answer:

Instead, the country will compete under the name "ROC", which is an acronym for the Russian Olympic Committee. This is due to the fact that Russia was sanctioned by the Court of Arbitration for.

I Hope this will be you if not then Sorry :)

how are the rights missused?​

Answers

Answer:

one example is abuse to speak and by lying or offensive launguage.

write an essay on clean environment

Answers

Given below are two essays in English for students and children about the topic of ‘Importance of Clean Environment’ in both long and short form. The first essay is a long essay on the Importance of Clean Environment of 400-500 words. This long essay about Importance of Clean and Green Environment is suitable for students of class 7, 8, 9 and 10, and also for competitive exam aspirants. The second essay is a short essay on Importance of Clean and Green Environment of 150-200 words. These are suitable for students and children in class 6 and below.

What are three consequences of unemployment on the community? ​

Answers

Explanation:

loss of GDP, loss of tax revenue, increased cost of unemployment benefits, loss of income for individuals, and. greater disparities in the distribution of income.

if my answer helps you than mark me as brainliest

differentiate between State Government and Federal government​

Answers

Explanation:

federal government:

Protect national unity and territorial integrity. Relating to national security. National transportation policies. central planning 2. state governmentManagement of lands, land record.state civil service and other government services.State level electricity,water supply.State University, higher education, museums.

In order to assess the influence of self-esteem on interpersonal attraction, researchers either insulted or complimented college students about their physical appearance just before they went on a blind date. In this research, the dependent variable consisted of:

Answers

Answer:

In order to assess the influence of self-esteem on interpersonal attraction, researchers either insulted or complimented college students about their physical appearance just before they went on a blind date. In this research, the dependent variable consisted of: interpersonal attraction.

College students were either insulted or complemented about their physical appearance by researchers before they went on a blind date in order to measure the impact of self-esteem on interpersonal attraction. Interpersonal attraction was the dependent variable in this study.

What is Interpersonal attraction ?

The study of interpersonal attraction, which results in the emergence of platonic or romantic relationships, is a subfield of social psychology. It involves opinions on what is and is not regarded as lovely or appealing and is distinct from perceptions such as physical attractiveness.

Interpersonal attraction is a branch of social psychology that focuses on how much we like or dislike other people. It can be thought of as a force that interacts between two individuals and tends to bring them together and to fight against their division.

To get an accurate prediction when evaluating interpersonal attraction, one must consider both the characteristics of the one being attracted and those of the one doing the attracting.

Learn more about Interpersonal Attraction here

https://brainly.com/question/15155755

# SPJ 5

Pls help its in the picture

Answers

Answer:

As the pilgrims colonized America, the pushed back the Indians

Explanation:

The pilgrims brought deiseases and pushed indians out of their territory, sometimes violently

state any two ways to introduce Nepal to the rest of the world question

Answers

Answer: A place with various cultures and religions and born place of Lord Buddha containing the highest mountain peak Mt Everest..

what member of state have to do​

Answers

Answer:

A member state is a state that is a member of an international organization or of a federation or confederation.

Since the World Trade Organization (WTO) and the International Monetary Fund (IMF) include some members that are not sovereign states, neither organization ever speaks of "member states". The WTO has simply "members" (see WTO members), and the IMF refers to its members as "member countries".

The oldest global member state based organization is the International Telecommunication Union, which joined the United Nations System as a Specialized Agency of the T 1088 after the creation of the UN.

I hope it's helpful for you!

Brad has always been a good kid until recently when his mother started catching him pinching his baby brother whenever he thought she wasn't looking. His mother began taking away a toy each time she caught him pinching his brother. Eventually Brad stopped pinching his brother; this is an example of

Answers

Answer: Punishment

Explanation:

One of the best ways to control children is by punishing them. Punishment is not just flogging them but putting measure of discipline to control their behavior. These measure of discipline could be limitations asides the normal punishment we know and this is what Brad's mother did when she realized he was pinching his brother, by taking away his toys.

Please it is urgent I know there are more points there are 4 questions I will give the brainiest to the right answer (Don't spam plz )​

Answers

Answer:

1. The concept of unity in diversity was accepted by the state after the unification of Nepal by the late King Prithvi Narayan Shah.

2. Nepal is similar to the garden where different types of flowers are grown. The fragrance of these flowers enchants the whole garden making it beautiful and pleasant. In a similar manner,  the diversity of Nepalese people makes it a beautiful country where each community has something unique to give back to the nation.

3.Nepal is a land of unity in diversity. In Nepal, people of various ethnic groups, religions, languages, customs, and culture live. Two major religion which is practiced in the country is Hinduism and Buddhism. The people in Nepal give importance to the varied cultures and customs to depict their culture.

4.Our National anthem is surely an expression of national unity in the following ways: It is our national anthem where people from varied backgrounds, irrespective of caste, creed, religion or sex stand up and sing in unison, paying respect and gratitude to the country. e. It captures the very essence of our country. Nepal's national anthem really promotes diversity. There are all sorts of words used that display diversity. There is usage of Terai (Plains), Himal (Mountains) and Pahad (Hills) which represents all Nepalese. So, Nepal's national anthem unites people and promotes diversity.

what are your duties towards the nation as a student?​

Answers

Answer:

learning

Explanation:

when you're ready to school

Answer:

Our Country deserves all the love and respect from us. Ir has given us every kind of freedom and resources needed to survive an ideal standard of life. Thus our moral duty to fulfil few obligations towards it. The duties of one’s Country need not be forced because it must come from one’s conscience.

Our Country’s great leaders have granted us the freedom of living by giving up on their lives for our countries. Their sacrifices have inspired us to carry the value of patriotism in our life. Thus, we should discharge all the necessary duties for our Country to make it a better place to live in. The Country wherein all the citizens perform their social duties, economics duties and religious duties for the Country, that Country is more likely to prosper the most.

Why do traffickers traffic human beings?

Answers

While the best-known form of human trafficking is for the purpose of sexual exploitation, hundreds of thousands of victims are trafficked for the purposes of forced labour, domestic servitude, child begging or the removal of their organs.

'literacy is prerequisites of development"justify the statement with examples

Answers

Answer:

Literacy is a prerequisites of development it is because literacy means the ability to read and write. every body need a knowledge of reading and writting . Today generation is full of knowledge . people who can het good knowledge they only get a job opportunity.

hope this will help you if it did make me brainliest

Each of these statements is true except: Understanding your weaknesses can help you grow and improve. Understanding your weaknesses can help you accept your vulnerability. Understanding your weaknesses can help you boost your sense of superiority. Understanding your weaknesses can help you value who you are in your entirety. Understanding your weaknesses can help you see yourself in a true light.

Answers

Answer:

Understanding your weakness can help you boost your sense of superiority

Explanation:

Understanding your weakness

The understanding your weaknesses can actually help you you in several ways. it can help you help better yourself and also make you come to the realization of what you must improve on in your life.  The fact is that the understanding of the fact that you are not perfect is very humbling. Knowing you have flaws  also does not usually encourage you to feel superior to others.Instead it makes you to be more humbling. Knowing your strengths and weaknesses can help contribute to improved performance.

ITS IN THE PICTURE!!!

Answers

Answer:

The # of protons option 1

One morning, a student suddenly feels an intense rush of anxiety, dizziness, heart palpitations, shortness of breath, and a fear of going crazy that is accompanied by a sense of detachment from her body. This episode lasts about fifteen minutes and is followed by exhaustion. Your diagnosis should be

Answers

Answer: Panic disorder

Explanation:

Panic disorder are disorders caused by sudden attacks or anxiety. Although this is natural to everyone, but some person's experience are severe than others, when it's severe it could lead to other threatening illness or a slump. Scientist has described it as a natural response to stress or danger.

The diagnosis for the students reaction would be a panic disorder.

what can be the basis for the division of a country in Federal structure give the introduction to each of them ?​

Answers

Answer:

The clergy first estate second estate is the third estate on the basis of the division of the country into a federal structure

The First estate is also known as a privileged class they enjoy freedom 2nd estate is also termed a privileged class and they also have a feudary system III state, which is considered an unprivileged class.

Explanation:

Nepal is a country that is diverse. There is a variety of topography in Nepal. Himalayas, hills, and the terai we've got. We have diversity ethically as well as culturally. We have Sherpas, Thakalis, Bhotes e.t.c. in the Hills and, like Yadavs, Tharus, and various other Ethnic groups in the Plains. Sherpas and Kirats, Bhramins, Chhetiro, and Chhetri are located here. It's the same language for hills and mountains. We are equally diverse as all of the people in the Terai don't speak the same language. And also randomly distributed natural resources.

So topography, ethics, resources, and language were the foundations of a federal structure country's division.

why do you think the national flag of Nepal is unique in the world​

Answers

Answer:

Unlike the flags of the other countries, the Nepali flag is the only flag in the world that is not quadrilateral in shape. It is a simple combination of two triangles. The flag not only identifies the nation but its design also interprets the nature of Nepal and Nepalese.

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Unlike the flags of the other countries, the Nepali flag is the only flag in the world that is not quadrilateral in shape.

The moon represents the calm nature of the Nepalese while the sun represents their aggression.

The moon also symbolizes the cool of the Himalayas while the sun represents the heat of the Terai.

The flag is basically red, with a blue border.

Red is Nepal's national color and it's said to come from the Rhododendron plant, which grows in the Himalayas.

And blue is meant to represent peace.

Another is that they represent two families: the Shahs and the Ranas, who used to rule Nepal.

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The national flag of Nepal is the world's only national flag that is non-quadrilateral in shape.

The flag is a simplified combination of two single pennons, the vexillological word for a pennant.

Its crimson red is the color of the rhododendron, the country's national flower.

The flag of Nepal is the only national flag in the world that is not rectangular.

The flag is a simplified combination of two single pennants.

Its crimson red is the colour of the rhododendron, the country's national flower.

Red is also the sign of victory in war.

MARK "BRIANLIEST!"

Compared to CDs, basic savings accounts are ____ liquid and have ____ interest rates?
A less higher
B more higher
C less lower
D more lower​

Answers

Answer:

d

Explanation:

why is GDP of Nepal low give two reasons ​

Answers

Answer:

The current fiscal year will witness the lowest economic growth in the last six years due to to poor agricultural output and industrial growth and the delayed budget. Owing to the skyrocketing consumer prices, per capita income of Nepalese people is also expected to decline in real terms this fiscal year.

Explanation:

Hope this helps you

by how much degree temperature of Nepal will increase by 2030 AD and 2090 AD?​

Answers

Answer:

0.5

Explanation:

present 0.05

9 years =0.05*10=0.5

write down three power of Federal unit of governance according to your constitutional province​

Answers

Answer:

To ensure a separation of powers, the U.S. Federal Government is made up of three branches: legislative, executive and judicial. To ensure the government is effective and citizens' rights are protected, each branch has its own powers and responsibilities, including working with the other branches

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