Jamuel9134 Jamuel9134
  • 02-01-2020
  • Social Studies
contestada

All of the following are SEC requirements related to a business continuity plan for a financial adviser, EXCEPT?

Respuesta :

bogadu
bogadu bogadu
  • 03-01-2020

Answer:

[D] The plan should provide for investment alternatives to regular securities products in the event of economic collapse

Explanation:

Options A, B and C are all minimum requirements of the SEC business continuity plan for a financial adviser

The Security and exchange commission requirements of business continuity plans does not require an adviser to provide investment alternatives to regular securities products in the event of an economic collapse.

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