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Business, 03.01.2020 04:31 destinywashere101

An investment advisor employs several iar's. the ia is required to maintain a copy of which of the following with regard to its iar's? [a securities screening and background checks that were performed on each iar[b] a copy of their driver's license[c] the initial application completed by each iar[d] a copy of each iar's fingerprints obtained from a police department

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An investment advisor employs several iar's. the ia is required to maintain a copy of which of the f...
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