1answer.
Ask question
Login Signup
Ask question
All categories
  • English
  • Mathematics
  • Social Studies
  • Business
  • History
  • Health
  • Geography
  • Biology
  • Physics
  • Chemistry
  • Computers and Technology
  • Arts
  • World Languages
  • Spanish
  • French
  • German
  • Advanced Placement (AP)
  • SAT
  • Medicine
  • Law
  • Engineering
Andrew [12]
3 years ago
15

All of the following are prohibited practices under FINRA rules EXCEPT: A selling enough mutual funds to a customer to obtain a

breakpoint B backing away from a quote C interpositioning another firm between a customer and market maker D withholding new issues from sale to the public
Business
2 answers:
Andreas93 [3]3 years ago
7 0

Answer:

The correct answer is letter "A": selling enough mutual funds to a customer to obtain a breakpoint.

Explanation:

The Financial Industry Regulatory Authority (FINRA) is a non-governmental institution that rules brokers and dealers activities in the United States. FINRA aims to protect private investments from bad practices and fraud having the authority to impose penalties whenever necessary.

<em>Brokers can send different assets -such a mutual funds or stocks- on behalf of investors to come to a breakpoint and start generating profits from the trade.</em>

Licemer1 [7]3 years ago
5 0

Answer:

Option A is correct

Explanation:

Breakpoint are the investment packages at which agents offer investors sales charge discount that is the more you invest, the greater the discount on sales charge which the investor is entitled to.

You might be interested in
The puffery technique of making a claim based on a survey without providing enough detail to tell if the survey was any good is:
netineya [11]

Answer:

Pseudo survey

Explanation:

Pseudo survey - it is a survey that illustrate that product is recommended by given organisation but details of recommendation party is hide. Mean to say that it does not specify the details of one who recommended it.

let take an example- In face cream ad, advertisement talks that it is dermatologist recommended but it doesn't not mentioned about the detail of dermatologist that recommended it.

4 0
3 years ago
_____ are items such as utilities, rent, and food—items that one can’t do without. Needs
gulaghasi [49]

Answer:

Needs

Explanation:

8 0
4 years ago
A customer sells short 100 shares of DEF stock at $82 per share. The stock falls to $71, at which point the customer writes 1 DE
Hatshy [7]

Answer:

16 points

Explanation:

Customer sold stock short for $82 per share

Then, customer sold Sept 70 at $4

If short put is then exercised, the customer is obligated to buy the shares back at $70.

Net cost of the customer is $66 per share for the stock, therefore

Customer gains = 82 sale proceeds - 66 cost basis = 16 points.

3 0
4 years ago
Percentage analyses, ratios, turnovers, and other measures of financial position and operating results are select one:
nignag [31]
Percentage analysis, ratios, turnovers, and other measures of financial position and operating results are useful analytical measures. 
Analytical measures are useful in assessing solvency and profitability of a business. Type of analytical measures used depends on; the size of the firm or business, the capital structure f the business, the type of business activity undertaken. They are useful for evaluating the financial results of a business and the performance of management. <span />
8 0
3 years ago
Ignatenko Company purchased office supplies costing $5,000 and increased Supplies for the full amount. Supplies on hand at the e
Leto [7]

Answer:

a. Supplies Expense $3,700Supplies $3,700

Explanation:

The entries required when supplies are purchased is

Debit Supplies account

Credit cash/accounts payable

At the point of use of these supplies, the entries required are

Debit  Supplies expense account

Credit supplies account

Hence the supplies used

= $5,000 - $1,300

= $3,700

Entries to be posted to adjust

Debit  Supplies expense account  $3,700

Credit supplies account      $3,700

6 0
3 years ago
Other questions:
  • Root and Vine is a gardening collective and local delivery service started by two friends. Their clientele has grown, and they w
    7·1 answer
  • Students are going through a three-step process to obtain their ID cards.
    6·1 answer
  • Kate Payne was reading the business plan for New Venture Fitness Drinks, and noticed that prior to its financial statements, New
    13·1 answer
  • When leaders motivate employees through inspiration, corporate culture tends to be: Select one: a. More supportive and people-or
    12·1 answer
  • Chik’s Chickens has accounts receivable of $6,333. Sales for the year were $9,800. What is its average collection period?
    14·1 answer
  • Paragon Leasing has been approached by Mid-America Trucking Company (MATC) to provide lease financing for a fleet of new tractor
    10·1 answer
  • The Cash account of Snug as a Bug Security Systems reported a balance of $ 2 comma 570 at December 31​, 2018. There were outstan
    5·1 answer
  • Pepe is observing workers in his company's warehouse to write a report on
    11·2 answers
  • ____ allow a company to monitor whether salespeople are engaging in tasks such as calling on new accounts, collecting past-due a
    7·1 answer
  • Explain the steps involved in a feasibility and market analysis for a proposed shopping center.
    9·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!