Which of the following are not exempt from the requirement of registration as investment advisers?

Question

Quizplus · Accepted Answer

Brokers are not exempt from the requirement of registration as investment advisers. The other options - lawyers, bankers, accountants, and financial market commentators - may be exempt from registration under certain circumstances, such as when providing investment advice as an incidental part of another professional service or when their advice is limited to certain types of securities.

Which of the Following Are Not Exempt from the Requirement