Giao dịch, Tài khoản & Hành vi cấmCâu 262 / 398
A firm mixes customer securities with the firm's own securities in a way that puts customer assets at risk if the firm fails. This prohibited practice is called:
a.Netting
b.Rehypothecation disclosure
c.Commingling
d.Subordination
Giải thích
Commingling improperly mixes customer funds or securities with those of the firm, endangering customer property. Rules such as the SEC's customer protection rule require firms to segregate and safeguard customer assets.
Trích dẫn luật: Securities Exchange Act of 1934Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A representative with discretionary authority trades a retiree's account dozens of times a month, generating large commissions but no clear benefit to the customer's stated goals. This is most likely:
- Without any written discretionary authority and without calling the client, a representative buys 1,000 shares of a stock in the client's account because he is sure it will rise. What violation is this?
- 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?
- To close a sale, a representative tells a customer that a corporate bond is 'guaranteed by the FDIC and can never lose money.' The statement is false. This is an example of:
- The Bank Secrecy Act (BSA) and related anti-money-laundering rules primarily require financial firms to do what?
- A firm's Customer Identification Program is a required component of which broader compliance framework?
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