Question

Which investment opportunity could a broker legally recommend to a client that a registered investment adviser could not?


Select the best answer from the choices provided.
a mutual fund composed of foreign stock shares and a technology sector
shares in a fraudulent company that does not exist
a security that is likely to have poor returns because of high fees and commissions
an index fund that has a front-end or back-end load

Answer 1

@JoannaBlackwelder

Answer 2

@jim_thompson5910

Answer 3

I would guess c since brokers don't have to prioritize the client's best interest.

Answer 4

i have B

Answer 5

ummmm

Answer 6

I don't think that is legal even for a broker :)

Answer 7

@jim_thompson5910

Answer 8

lets go with c then

Answer 9

ok :)