Law, 05.05.2020 20:11 jahbreingram123
A Federal Covered Adviser registered with the SEC holds a meeting with its employees and verbally warns them about the prohibited practice of trading ahead of large customer orders that are likely to have a market impact. The firm has not yet included this prohibition in its policies and procedures manual, but intends to do so in the near future. Which statement is TRUE?A. There is no violation of the Investment Advisers Act of 1940 "insider trading" rules because the employees participated in the meetingB. There is no violation of the Investment Advisers Act of 1940 because the firm intends to include "trading ahead" restrictions in the next version of its policies and procedures manualC. The Investment Advisers Act of 1940 has been violated because the firm did not have written policies and procedures covering "front running" by its employeesD. There is no violation of the Investment Advisers Act of 1940 because "front running" is not covered by the Act
Answers: 1
Law, 03.07.2019 18:10
What was the effect of the supreme court’s ruling in citizens united v. federal election commission? a. it removed limitations on corporate funding of political broadcasts. b. it removed all limits on campaign contributions by interest groups. c. it prohibited corporations and businesses from contributing to political campaigns. d. it prohibited interest groups from contributing to individual candidates.
Answers: 1
Law, 07.07.2019 02:10
Cases that arent resloved through plea bargaining or by a jury trial are decided by a judge in a \an a.indicmentb.grand jury.c.arraignment d. bentch trial
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Law, 14.07.2019 05:20
What should you do when making a personal appeal to a procrastinator to change his/her work habits? a. use examples of how you were able to overcome procrastination to convince him/her to change. b. relay information you have heard from co-workers. c. do not give any personal information. d. explain how you have been personally impacted by his/her procrastination.
Answers: 2
A Federal Covered Adviser registered with the SEC holds a meeting with its employees and verbally wa...
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