Cowpoke Partners is the investment adviser to the Western Vistas family of funds, the firm's sole advisory client. The Western Vistas family currently has $18 million under management. Which of the following statements concerning Cowpoke's registration is TRUE?
a) Cowpoke is considered a federal covered adviser and must register with the SEC
b) Cowpoke must register with both the SEC and each state in which it does business until its assets under management exceed $100 million
c) Cowpoke is required to register only with the states in which Western Vistas has clients
d) Cowpoke is exempt under the de minimis exemption at both the federal and state levels since it only services a single mutual fund complex
Answers (1)
Know the Answer?
Not Sure About the Answer?
Find an answer to your question ✅ “Cowpoke Partners is the investment adviser to the Western Vistas family of funds, the firm's sole advisory client. The Western Vistas ...” in 📘 Business if you're in doubt about the correctness of the answers or there's no answer, then try to use the smart search and find answers to the similar questions.
Search for Other Answers
You Might be Interested in
Buchanan Company recently was sued by a competitor for patent infringement. Attorneys have determined that it is probable that Buchanan will lose the case and that a reasonable estimate of damages to be paid by Buchanan is $305,090.
Answers (1)
Which standard specifies requirements for the selection, care, and maintenance of open-circuit scba and combination scba/sar used for respiratory protection during hazardous operations?
Answers (1)
Jason bought a car for $40,000 upon graduation from college with an engineering degree and a very good job offer. A down payment of $5,000 was paid by his dad as a graduation gift.
Answers (1)
After identifying a target market, a retailer must:
Answers (1)
Buck Rogers sells fiberglass resins and fiberglass wire to the many small sailboat manufacturers in southern California. He takes title to the products but does not handle them.
Answers (1)
New Questions in Business
Kramer Enterprises reports year-end information from 2015 as follows: Sales (160,000 units) $960,000 Cost of goods sold 640,000 Gross margin 320,000 Operating expenses 260,000 Operating income $60,000 Kramer is developing the 2016 budget.
Answers (1)
What is purchasing process?
Answers (1)
The report of which agency states, "it is paradoxical that obesity is increasing in the us while more people are dieting than ever before, spending, by one estimate, more that $33 billion per year on weight-reduction products and services?
Answers (1)
Which of the following are inefficient markets? Select all that apply. Consumers compete for wages in a free market economy. Consumers wait in line to buy a sale television because the first to come is the first served.
Answers (1)
Which of the following statements regarding perpetuities is FALSE? A. A perpetuity is a stream of equal cash flows that occurs at regular intervals and lasts forever. B.
Answers (1)