Under the provisions of the Investment Advisers Act of 1940, if an adviser takes custody of customer funds or securities, account statements MUST be sent to the customer:

Answers

Answer 1

Answer:

Quarterly

Explanation:

According to the provisions of the Investment Advisers Act of 1940, in the case when an advisor takes the customer custody in term of funds or securities so the account statement must be sent to the customer on the a quarterly basis i.e. four times in a year. Here four times means every three months

therefore as per the given situation, the quarterly is the answer


Related Questions

A firm operated at 90% of capacity for the past year, during which fixed costs were $420,000, variable costs were 40% of sales, and sales were $1,000,000. Operating income was:____________.
a. $420,000
b. $980,000
c. $180,000
d. $1,080,000

Answers

Answer:

A

Explanation:

Based on the fixed and variable costs, as well as the sales amount, the operating income was C. $180,000.

What was the operating income?

This can be found as:

= Sales - Variable costs - Foxed costs

Solving gives:

= 1,000,000 - (40% x 1,000,000) -420,000

= 1,000,000 - 400,000 - 420,000

= $180,000

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The four people below have the following investments. Invested Amount Interest Rate Compounding Jerry $ 11,400 12 % Quarterly Elaine 14,400 6 Semiannually George 21,400 8 Annually Kramer 17,400 10 Annually Required: 1-a. Calculate the future value at the end of five years

Answers

Answer:

Jerry

$20,589.67

Elaine

$19,352.40

George

$31,443.62

Kramer

$28,022.87

Explanation:

Use following formula to calculate the future value

FV = PV ( 1 + r )^n

Where

PV  = Present value = Investment

FV = Future value = ?

r = interest rate per compounding period

n= numbers of compounding periods

Jerry

PV = $11,400

r = 12% x 3/12 = 3%

n = 5 years x 12/4 = 20 periods

Placing values in the formula

FV = $11,400 x ( 1 + 3% )^20

FV = $20,589.67

Elaine

PV = $14,400

r = 6% x 6/12 = 3%

n = 5 years x 12/6 = 10 periods

Placing values in the formula

FV = $14,400 x ( 1 + 3% )^10

FV = $19,352.40

George

PV = $21,400

r = 8%

n = 5 years

Placing values in the formula

FV = $21,400 x ( 1 + 8% )^5

FV = $31,443.62

Kramer

17,400 10 Annually

PV = $17,400

r = 10%

n = 5 years

Placing values in the formula

FV = $17,400 x ( 1 + 10% )^5

FV = $28,022.87

The future values of the investments are computed as follows:

              Invested Amount   Interest Rate    Compounding    Future Value

Jerry               $ 11,400             12%                Quarterly            $20,589.67

Elaine               14,400               6%                Semiannually     $19,352.40

George            21,400               8%                Annually             $31,443.62

Kramer             17,400             10%                 Annually            $28,022.87

Data and Calculations:

Jerry:

N (# of periods) = 20 (5 x 4)

I/Y (Interest per year) = 12%

PV (Present Value) = $11,400

PMT (Periodic Payment) = 0

Results

Future Value = $20,589.67

Total Interest $9,189.6

Elaine:

N (# of periods) = 10 (5 x 2)

I/Y (Interest per year) = 6%

PV (Present Value) = $14,400

PMT (Periodic Payment) = 0

 

Results

Future Value = $19,352.40

Total Interest = $4,952.40

George:

N (# of periods) = 5 years

I/Y (Interest per year) = 8%

PV (Present Value) = $21,400

PMT (Periodic Payment) = 0

Results

Future Value = $31,443.62

Total Interest = $10,043.62

Kramer:

N (# of periods) = 5 years

I/Y (Interest per year) = 10%

PV (Present Value) = $17,400

PMT (Periodic Payment) = 0

 

Results

Future Value = $28,022.87

Total Interest = $10,622.87

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Jerry works as an accountant in a manufacturing firm. His firm has sold goods to customers on credit, while the full payment for the goods is expected after a month. In which category should Jerry mention the price of these goods? A. accounts payable B. accounts receivable C. cost of goods sold D. depreciation E. operating expenses

Answers

Answer:

If we are talking about the price Jerry and his firm purchased goods for I would say "Cost of goods sold", if we are talking about the revenue that will be collected from customers in the future I would say "accounts recceivable"

Explanation:

Answer:

the answer is b. accounts receivable

Explanation:

a word-for-word copy from edmentum:

"Accounts receivable: Let’s say that a business sells goods to a customer on credit. The customer plans to make the payment a few months later. A business recognizes this amount as a current asset called accounts receivable until it receives the payment."

One of the draw backs of the profitablity index as a criteria for judging whether to accept a capital investment project is that:_______

Answers

Answer:

It might lead to over-optimistic projections

Explanation:

In simple words, the problem with using profitability index as the index criteria lies with the procedure of estimating it. In order to consider the business situation, the organisational finance group requires to settle with the corporation supervisors.

Leadership may be too enthusiastic about their assignment, so forecasts for cash flow may be too substantial. Consequently, in predicting the profitability index, there may be an uptrend prejudice.

Ms. Smith employs 50 salespeople to sell copiers. If she wants information on the typical number of copiers sold by a salesperson, which Data Analysis tool should she use

Answers

Answer:

Descriptive statistics

Explanation:

If Ms smith wants information on the typical number of copiers sold by a salesperson she has to use descriptive statistics.

Descriptive statistics is used to describe data. It gives basic summary of the sample and also measures. It entails the usage and analysis of the collected data. Therefore descriptive statistics is the data analysis tool that she would need.

Watters Umbrella Corp. issued 15-year binds two years ago at a coupon rate of 6.2 percent. The bonds make semiannual payments. If these bonds currently sell for 98 percent of par value, what is the YTM?

Answers

Answer:

YTM = 6.42%

Explanation:

current market value = $1,000 x 98% = $980

n = (15 - 2) x 2 = 26

coupon = $1,000 x 6.2% x 1/2 = $31

face value = $1,000

YTM = [coupon + [(face value - market value)/n]} / [(face value + market value)/2]

YTM = [31 + [(1,000 - 980)/26]} / [(1,000 + 980)/2]

YTM = (31 + 0.77) / 990 = 31.77 / 990 = 0.03209 x 2 (annual yield) = 0.641818 = 6.42%

Irfan runs a small business. His business’s total liabilities amount to $200,000. His net profit for the latest accounting period is $50,000. The total value of all the business assets comes to $600,000. What is the debt to asset ratio in the case of Irfan’s business? The debt to assets ratio of Irfan’s business, to two decimal places, is percent.

Answers

Small businesses are either services or retail operations like grocery stores, medical stores, tradespeople, bakeries, and small manufacturing units.

What is the meaning of Small businesses?

Small companies typically offer services or are retail establishments like grocery stores, pharmacies, tradesmen, bakeries, and micro-manufacturing facilities. Small businesses are privately held companies that need less equipment, labor, and cash than larger companies.

The most straightforward type of business is a sole proprietorship. Small businesses are distinct legal entities such as corporations, partnerships, and sole proprietorships that have fewer employees and/or lower yearly income than a regular-sized company. Businesses are considered "small" if they are eligible for government assistance and favorable tax treatment.

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WHAT IS IT?
1.it can be use as thickening agent or as a weak glue
3.a food spread made from dry roasted peanuts

Answers

Answer:

I believe its Peanut Butter.

Hoffman Company purchased merchandise on account from a supplier for $65,000, terms 1/10, n/30. Hoffman Company returned $7,500 of the merchandise and received full credit.
a. If Hoffman Company pays the invoice within the discount period, what is the amount of cash required for the payment?
b. What account is debited by Hoffman Company to record the return?

Answers

Answer: a. $56925 ; b. Account payable

Explanation:

a. If Hoffman Company pays the invoice within the discount period, what is the amount of cash required for the payment?

Purchase invoice = $65000

Less: Return = ($7500)

Net Purchase Invoice = $57500

Less: Discount = $57500 × 1% = $575

Cash received = $56925

b. What account is debited by Hoffman Company to record the return?

The account that is debited by Hoffman Company to record the return is the account payable.

Southeast Airline had retained earnings of $1.5 million, sales of $5 million and net income of $0.5 million this year. It also paid dividends of $0.2 million this year. If the sales is projected to increase by 20% next year, what is the projected retained earnings for next year?

Answers

Answer:

$1.86 million

Explanation:

Given the above data, we can calculate the retained earning for next year to be;

Retained earning this year end = $1.5 million retained earning at the beginning + $0.5 million net income - $0.2 million dividends

= $1.8 million

The year-end financial statements of Rally Company for the current year, report total revenues of $19,829 million, accounts receivable of $1,272 million at the current year-end, and $1,19 million for the prior year-end. The company's accounts receivable turnover for the year is:_______.
a. 18.3 times.
b. 18.9 times.
c. 19.5 times.
d. 20.0 times.
e. none of these are correct.

Answers

Answer:

16.1 times

Explanation:

Calculation for the company's accounts receivable turnover for the year

Using this formula

Accounts Recievable Turnover = Total Revenues/Average accounts receivables

Let plug in the formula

Accounts Receivable Turnover = $19,829/[($1,272+$1,198)/2]

Accounts Receivable Turnover =$19,829/$1,235

Accounts Receivable Turnover = 16.1 times

Therefore The company's accounts receivable turnover for the year is: 16.1 times

A trading arrangement that eliminates most or all barriers to trade among participating nations and utilizes common barriers to trade with other countries outside the group is called a

Answers

Answer:

preferential trade agreement

Explanation:

This agreement is known as a preferential trade agreement. It is called this because it tends to make it easier for specific goods to be traded but only to the countries that are part of the group and/or agreement. This agreement also makes it harder for countries that are not part of the agreement to be able to trade with the countries that are in order to maintain the countries within the agreement trading with each other.

Which financial statement would include a listing of a companies assets

Answers

Answer:

Balance Sheet

Explanation:

In accounting, Balance sheet will show a complete listing of  assets, liabilities and  Equity of a company within a specific time period. (For most companies, the balance sheet will be made at each end of the year)

under the Assets segment, Balance sheet will specify several accounts arranged based on their liquidity. Cash usually put at the top of the list since it's considered as the most liquid assets.

People use balance sheet to give a general measurement on Company's financial health. If for example, they noticed that the liability is significantly larger than their assets, investors might feel discourage to invest in the company.

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