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
horrorfan [7]
3 years ago
13

A broker-dealer and its associated persons may be subjected to sanctions for violations of FINRA and SEC rules. Which of the fol

lowing 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
Social Studies
1 answer:
tekilochka [14]3 years ago
6 0

Answer:. Censure

Explanation:

The penalty that can be levied against the broker-dealer and its associated persons that are subjected to sanctions for violations of FINRA and SEC rules is the censure.

The censure means that the broker dealers and the associatee person's are disapproved.

You might be interested in
A learning process that can occur only during a limited period of the individual's development is called _____. imprinting condi
leva [86]
I believe the answer is: Imprinting

In psychology, imprinting refers to the phase where individuals become the most sensitive to learn various skills/knowledge.
Imprinting could happen on any age depending on the person, and currently we still haven't figure out a scientific way to predict the period when it should happen
8 0
4 years ago
Read 2 more answers
How has the monsoon seasons impacted India
RideAnS [48]
In some regions the monsoon changes the otherwise dry regions into very wet and fertile land, thus helping the people who live there produce more crops and have more food sources.
8 0
4 years ago
A lightweight framework that helps people, teams and organizations generate value through adaptive solutions for complex problem
Sindrei [870]

A lightweight framework that helps people, teams and organizations generate value through adaptive solutions for complex problems is known as: Scrum.

<h3>What is scrum?</h3>

This is the term that is used to refer to the framework that enables people as well as business and organizations to handle complex tasks in their day to day running of their business.

This framework helps them to solve their complex problems in the businesses through the use of adaptive procedures. Hence we can conclude by saying that A lightweight framework that helps people, teams and organizations generate value through adaptive solutions for complex problems is known as: Scrum.

Read more on scrum here: brainly.com/question/27960967

#SPJ1

7 0
2 years ago
What is one advantage a secondary source has over a primary source
monitta

answer One advantage a secondary source may have over a primary source is that the person creating the secondary source has access to a variety of primary sources. This means that a variety of viewpoints can be included in the secondary source.

3 0
4 years ago
Why is conflict confrontation not healthy for sustaining positive relationships
Vlad [161]

Answer:

It could get ugly

Explanation:

Conflict confrontation would only yield good results if both parties involved are ready to resolve their differences. Otherwise, it could result to greater issues as it could become ugly and lead to yelling, abuses, and probably violent actions.

When confrontation leads to this, it destroys the positive relationship that was in existence between both parties involved.

4 0
3 years ago
Other questions:
  • Legitimate power is directly based on ________.
    10·1 answer
  • The way in which people absorb outside cultures is called __________.
    8·2 answers
  • In a well-considered essay, examine this claim made below by A. Bartlett Giamatti. Evaluate its compatibility with your own view
    8·1 answer
  • What is one characteristic of a command economy
    12·1 answer
  • Please help me with both ?s I will mark Brainly
    11·1 answer
  • Women who are strong supporters of womens rights are most likely to vote for a candidate who
    5·2 answers
  • In two paragraphs, explain how Vietnam’s political boundaries, affiliations, and alliances changed from the end of World War II
    11·1 answer
  • 1. Explain how the Constitution gives authority to the Executive Department to establish a federal bureaucracy.​
    5·1 answer
  • How did christianity become so dominant in the middle ages
    10·2 answers
  • Is it good to discriminate people on the basis of work? Why? Why not?​
    15·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!