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djyliett [7]
2 years ago
6

A broker learns that one of his institutional clients is about to enter a buy order for 10,000 shares of ABC stock. The broker t

ells one of the principals of the broker-dealer and the broker-dealer immediately enters a proprietary buy order for 10,000 shares of ABC stock ahead of the client's order. This trade is generally prohibited as front running but would be permitted if:
[A] The firm can demonstrate that the trade is unrelated to the customer's block order
[B] The trade was made to fill or facilitate the customer's block order
[C] The trade is executed on a national stock exchange and in compliance with its rules
[D] All of the above.
Business
1 answer:
irina [24]2 years ago
6 0

Answer:

[D] All of the above.

Explanation:

Front running is the process by which a party to a share purchase has initial knowledge of the future market value of shares that are yet to be issued and makes a proprietary buy order for stock ahead of the client's order.

Normally this can be as a result of insider information which is prohibited, but the options above all allow this practice.

-If the firm can demonstrate that the trade is unrelated to the customer's block order

-If the trade was made to fill or facilitate the customer's block order

-If the trade is executed on a national stock exchange and in compliance with its rules

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Competitive intelligence means gaining information about one's competitors' activities so that you can anticipate their moves an
Lisa [10]

True. Competitive intelligence means gaining information about one's competitors' activities so that you can anticipate their moves and react appropriately.

Explanation:

Businesses often employ specific researchers to make strategies according to competitive intelligence for which there is dedicated analysis and anticipation for the moves that the market competition of a company is going to come up with.

This is ethically done by keeping a check of the competitors website and press releases, business publications of research and columns which indicate market trends in the industry as well as consumer behavior and market share statistical analysis.

6 0
3 years ago
Which management theory was based on understanding each part of a task, selecting the right workers, providing adequate training
n200080 [17]

Answer:

Taylorism

Explanation:

Taylorism, often referred to as Scientific Management, was the first theory of management to focus specifically on analyzing and optimizing workflows. These theories of process optimization helped drive the Fordist shift to mass production which occurred in the early part of the 20th Century.  Taylorism can be boiled down to 4 principal points:  The method of doing a task should be informed by a scientific investigation of the task  , employees should be selected and carefully trained for tasks  ,tasks should have detailed instructions and should be subject to supervision  and management should evaluate tasks and formulate optimized approaches for the workers to follow .

Some forms of analysis might be done by timing how long it takes a worker to do a task, others by weighing raw materials. Process analysis, for Taylor, had to look at both the minutiae of the process composition and the detail of the physical acts required to complete the process. The elements of process improvement Taylor advocated for were successful in regards to processing materials; changing the way steel was cut and patenting that process. Yet, during his life, Taylor struggled to achieve quite the same success improving the efficiency of workers.  Taylorism was first scientifically understanding how the production process worked and then supporting the managers of a workplace to intimately train workers to work at maximum efficiency. This way, the means towards higher returns is paved with a well-managed, harmonious relationship between managers and workers. In theory, this would have been a much more sustainable model for an organization. But despite that promise, people, although genetically similar, are intrinsically unique and complex. Aligning different minds and ushering people to a new way of working (from individual craft, to standardized production), sometimes require more time and effort than bringing in a new piece of technology.

7 0
3 years ago
jervis sells 3400 of its accounts receivable to northern bank in order to obtain necessary cash northern bank charges a 2% facto
lesya692 [45]

Answer:

Factoring fee = 2% * Account Receivable

= 2% * $3,400

= $68

​

Date  Account Titles and Explanation     Debit    Credit

          Cash                                                   $3,332

          Factoring expenses                           $68

                    Account receivables                             $3,400

          (To record the receipt of cash against the receivables)

6 0
2 years ago
Is the cost of equity calculated from the CAPM model, pre -tax or post-tax?
Natasha_Volkova [10]
The existence of pre-tax cost of debt and post-tax cost of debt is due to the acknoledgement of the tax benefit from issuing debt.There is no tax benefit from paying divdends,so it makes no sense talking about pre-tax,post-tax cost of equity for a firm.When you think about cash flow to equity you can only assume that the taxes owed by the company have already been paid.Now, the taxation over the income of the shareholder is a whole different issue that does not take place in this discussion,since it is not taken in consideration either in cost of equity or cost of debt.
3 0
3 years ago
As the video showed, there are many people who are so concerned about the viability of banks, and indeed the entire financial sy
sergeinik [125]
Hard question thx for the points give me brainlest points plz
6 0
3 years ago
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