Laws & Regulations第 88 / 110 题
An agent (broker-dealer representative) who engages in 'selling away' is doing which of the following?
a.Recommending only securities on an approved list
b.Disclosing all transactions to the employing firm
c.Executing trades exactly as the firm directs
d.Selling securities transactions outside the scope of employment without the firm's knowledge or approval
解析
Selling away occurs when an agent effects private securities transactions outside the employing broker-dealer's supervision and without its knowledge or approval, a prohibited practice. It deprives the firm of oversight and exposes clients to unvetted risks. Agents must conduct approved business through their firm.
法律依据: Uniform Securities Act免费刷完整 110 道题库 — 无需注册。
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