A registered representative, about to retire, is transferring his "book" to a younger representative at his firm. The representative that is assigned these accounts must:
A. Complete transfer of account forms for each customer, listing all securities positions
B. Update the customer account records
C. Treat each account has a new account, including a new account form that must be approved in writing by the principal
D. Forward all commissions received from these accounts during the next year to the retired representative

Which of the following statements is true regarding the reporting of outside interests and the management of conflicts? investigators are responsible for developing their own management plans for significant financial interests. the institution must report identified financial conflicts of interest to the u.s. office of research integrity. investigators must disclose their significant financial interests related to their institutional responsibilities and not just those related to a particular project. investigators must disclose all of their financial interests regardless of whether they are related to a research project.

What two things do you consider when evaluating the time value of money

In the fall of 2008, aig, the largest insurance company in the world at the time, was at risk of defaulting due to the severity of the global financial crisis. as a result, the u.s. government stepped in to support aig with large capital injections and an ownership stake. how would this affect, if at all, the yield and risk premium on aig corporate debt?