Please list ten categories of people that are exempt from the Advisors Act.
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Q12: Holders of which of the following are
Q13: Which of the following categories of people
Q14: In 2004,the SEC promulgated Rule 204A-1,which requires
Q15: Which of the following is not an
Q16: Getting a client to switch insurance policies
Q17: Which of the following is not a
Q18: Which of the following is not an
Q19: Investment advisors charged performance fees are:
A)Not allowed
Q20: Which provisions must still be followed by
Q21: Please provide details regarding the SECs investment
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