Giao dịch, Tài khoản & Hành vi cấmCâu 261 / 398
A registered representative sells a private investment to several clients on the side, receiving compensation, but never tells her firm or gets its approval. What prohibited activity is this?
a.Churning
b.Selling away (private securities transactions without firm approval)
c.Commingling
d.Marking the close
Giải thích
Selling away is engaging in private securities transactions outside the scope of employment without providing prior written notice to, and receiving approval from, the firm. It denies the firm the ability to supervise the activity and protect customers.
Trích dẫn luật: FINRA Rule 3280Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Just before the market closes, a trader enters a flurry of small buy orders in a stock solely to push its closing price higher and inflate the value shown on month-end statements. This manipulation is known as:
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