All of the following are SEC requirements related to a business continuity plan for a financial adviser, EXCEPT?

Question

02-01-2020
Social Studies

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All of the following are SEC requirements related to a business continuity plan for a financial adviser, EXCEPT?

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bogadu bogadu · Answer 1 · 2020-01-03T20:03:42+01:00

Answer:

[D] The plan should provide for investment alternatives to regular securities products in the event of economic collapse

Explanation:

Options A, B and C are all minimum requirements of the SEC business continuity plan for a financial adviser

The Security and exchange commission requirements of business continuity plans does not require an adviser to provide investment alternatives to regular securities products in the event of an economic collapse.