Laws & Regulations第 30 / 100 题
An agent effects a transaction that is not recorded on the books of the employing broker-dealer, without the firm's knowledge or authorization. This is best described as:
a.Coordination
b.A permitted private transaction
c.Registration by qualification
d.Selling away, a prohibited practice
解析
Selling away is when an agent effects private securities transactions outside the employing broker-dealer's supervision and records without authorization. It is prohibited because it evades supervision and firm oversight. Agents must have firm approval and, where required, recordkeeping.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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