Giao dịch, Tài khoản & Hành vi cấmCâu 188 / 398
A firm receives a customer order, locates another party in the market to take the other side, and charges a commission for arranging the trade. In what capacity did the firm act, and what did it charge?
a.As a principal, charging a markup
b.As an agent, charging a commission
c.As an underwriter, charging a spread
d.As a dealer, charging a markdown
Giải thích
By arranging a trade between the customer and a third party without using its own inventory, the firm acts as an agent (broker) and is compensated with a commission. Markups and markdowns apply only when a firm acts as a principal from its own account.
Trích dẫn luật: Securities Exchange Act of 1934Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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