SIE Exam Practice Question 534

Question: 534

An individual who meets which of the following criteria must register as an investment adviser?

(1) The individual provides advice or analyses concerning securities.

(2) The individual is in the business of providing investment advice.

(3) The individual provides investment advice for compensation.

(4) The individual is a CPA or attorney whose investment advice is only incidental to his or her other activities.

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