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Which of the following is NOT part of the definition of an Investment Advisor as defined by the Investment Advisers Act of 1940 (the Act)?
Which of the following is NOT part of the definition of an Investment Advisor as defined by the Investment Advisers Act of 1940 (the Act)? Question 7 options: holds a CFP or Series 7 license receives compensation for advice is in the business of providing advice provides advice regarding securities
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Business Law and the Legal Environment
Authors: Jeffrey F. Beatty, Susan S. Samuelson, Dean A. Bredeson
6th Edition
1285143310, 1111530602, 978-1285143316, 9781111530600, 978-1111530600
