Giao dịch, Tài khoản & Hành vi cấmCâu 263 / 398
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:
a.A permissible sales puff
b.Suitable recommendation
c.Selling away
d.Misrepresentation
Giải thích
Misrepresentation is making a false or misleading statement of material fact to induce a securities transaction. Falsely claiming FDIC backing or a guarantee against loss is a serious violation of the antifraud provisions.
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
- 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?
- 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:
- 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?
- A firm notices a customer making a pattern of transactions that appear designed to hide the source of funds, with no apparent lawful business purpose. Which report is most appropriate?
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