Laws & RegulationsCâu 24 / 100
An agent guarantees a customer against loss on a stock recommendation to close the sale. This practice is:
a.Permitted if the guarantee is in writing
b.Prohibited because agents may not guarantee customers against loss
c.Permitted for accredited investors
d.Required by the suitability rule
Giải thích
Agents and broker-dealers may not guarantee a customer against loss. Such guarantees misrepresent the risk of investing and are a prohibited practice. Putting the guarantee in writing does not make it permissible.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
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- The Administrator may issue a cease and desist order:
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