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he SEC will get involved in a dispute between an investment adviser and a client when: the investment adviser misrepresents important information about a security.
he SEC will get involved in a dispute between an investment adviser and a client when:
- the investment adviser misrepresents important information about a security.
- the investment adviser fails to treat the client in a fair manner.
- the investment adviser terminates the relationship with the client without providing a 30day grace period.
- the client loses more than 20 percent of the fair market value of his or her portfolio.
Group of answer choices
a. (2) and (4)
b.(1) and (2)
c.(2) and (3)
d. (3) and (4)
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