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23-12-2022
Social Studies

Answered

under nasaa rules, which of the following records must be retained by investment advisers? i record of each written communication received by the investment adviser relating to any recommendation or advice ii record of each written communication sent by the investment adviser relating to any recommendation or advice iii copy of each notice, circular, advertisement, newspaper article, investment letter, bulletin or other communication (including electronic communications) sent to 2 or more persons. iv record of each securities transaction except for transaction not directed or controlled by the adviser and transactions in u.s. government securities.

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