Social Studies, 31.07.2020 21:01 david7962
A broker-dealer and its associated persons may be subjected to sanctions for violations of FINRA and SEC rules. Which of the following penalties can be levied against both the member firm AND its associated persons?
A. Censure
B. Limits placed on activities
C. Imprisonment
D. Loss of SIPC coverage
Answers: 3
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A broker-dealer and its associated persons may be subjected to sanctions for violations of FINRA and...
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