Question
An investment adviser operates as a sole proprietor and has five clients. If he obtains employment with a brokerage firm, he: does not have to
An investment adviser operates as a sole proprietor and has five clients. If he obtains employment with a brokerage firm, he:
does not have to advise his old clients in writing of his employment with the brokerage firm or get written consent from his new employer to keep his old clients. | ||
must get written consent from his new employer to keep his old clients, but does not have to advise his old clients in writing of his employment with the brokerage firm | ||
must get written consent from his new employer to keep his old clients, and must advise his old clients in writing of his employment with the brokerage firm |
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