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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.

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Explanation:

In Biology, homology refers to <u>the similarity of features from different species of organisms that share a common ancestor</u>. This is the opposite of analogy, which refers to <u>a feature that has a similar function but is not derived from a common ancestor</u>.

In this case, bats and cats have forelimbs adapted for locomotion. This is a case of homologous characters because they both are descendants of tetrapods - four-limbed animals. Therefore, even though cats and bats look completely different, they both share a similar feature: forelimbs, a characteristic feature from their common early mammalian ancestors.

On the other hand, whales (mammals) and sharks (fish) do not share a common ancestor. So, the fins are analogous structures: both have a similar function because both have adapted to an aquatic environment but they have completely separate evolutionary origins.

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