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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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Leni [432]

Answer:

GOOD: American culture expands to all conquered and acquired territories. Everyone who lives in these territories was able to benefit from religion, democracy, and cultural ways of Americans. Manifest Destiny increased goods, doubled the land area of the U.S., services, and wealth.

BAD:

was their destiny to expand caused Americans to disregard the territorial rights of Native Americans, wiping out many tribes and causing a cultural divide, tension and wars.

7 0
3 years ago
Difference between first past the post system and proportional system??​
bulgar [2K]

Answer:

In the first past the post system, as the name implies, the party or candidate winning the a plurality of votes obtains all the political seats being contested.

For example, suppose we have three parties, and 20 seats being contested in a fictional election. The results are:

Red party - 60%

Green party - 30%

Blue party - 10%

Under a first past the post system, the Red Party would obtain all the 20 seats.

Under a proportional system, on the other hand, each party or candidate gets a proportional amount of seats corresponding to the percentage of the votes.

For example, if the number of seats contested is 20, and we obtain the same results as above, the number of seats for each party (in bold) would be:

Red party - 60%  - 12 seats

Green party - 30% - 6 seats

Blue party - 10% - 2 seats

7 0
3 years ago
As early as 7000 BCE, during the Neolithic Age, people of Jericho refashioned
Strike441 [17]

The Neolithic period marked the transition of man from a food gatherer to food producer. Some of the noteworthy achievements during this period include development of agriculture, settlement, improvised weapons/tools, developments in art/architecture.

6 0
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Ludmilka [50]

Answer:

Codependency is at work in this situation.

Explanation:

Codependency is a concept used in psychology and social work to understand and explain the dynamic of a family in which one member is a substance abuser or has another kind of addiction. According to this concept, while the family member becomes dependent of a substance, he or she also becomes dependent on the rest of the family and, likewise, the rest of the familly becomes dependent on him or her.

In the case stated in the question, although Pam is not happy with his son's addiction, she is enabling it by not making him accountable for his decisions and preventing him of experiencing the consequences of his actions. Besides depending on alcohol, his son has also become dependent of his mother in order to continue his addiction and she has become dependent on his actions for her wellbeing.

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