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Business, 05.08.2020 18:01 beauty2624

Under the NASAA model custody rule, an investment adviser would be considered to have custody of client assets if that adviser inadvertently receives: i. a check from a client from a client made out to the IA and does not return the check within 24 hours
ii. a check from a client made out to a third party and Does not forward the check within 3 business days
iii. stock certificates from a client and does not forward them within 3 business days
iv. stock certificates from a client and does noT return them within 3 business days

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