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a canadian agaent has an existing client who goes on vacation to seattle, washington. the agent wishes to contact the customer in seattle aboout an investment that he wishes to recommed

Respuesta :

The IAR need not register in the State of Washington because the customer is on vacation.

  • Since their clients frequently travel extensively within the United States, Canadian broker-dealers and investment advisers are covered under the Uniform Securities Act.
  • A Canadian broker-dealer or investment adviser is immune from registration (as are its agents) when executing trades for current clients who are temporarily vacationing in the US as long as they do not have a place of business there.

What is IAR?

  • On behalf of a registered investment advisor, or RIA, an investment advisor representative provides clients with advice.
  • An investment company that has registered with the Securities and Exchange Commission (SEC) is known as a registered investment advisor .

Learn more about IAR here:

https://brainly.com/question/16033676

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