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horrorfan [7]
2 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]2 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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3 years ago
How does the way the electoral college functions today differ from the framers intention?
Alex17521 [72]
A controversial question at best with the Trump and Hillary race this year and the Democrat and Republican issues in our government.  The Framers intended for the Popular vote to persuade the electoral college on who to vote for.  Today the electoral college functions more like a person who puts a "rubber stamp" on a paper rather than someone who has a voice.  We need individuals who have a voice just like those of the past.  The Framers of the Constitution created a document that wanted a government that was run by the people not taken over by one person.
3 0
2 years ago
Explain why the housing market follows an up-and-down cycle.
julsineya [31]
Well, its actually bit complicated but Ill get into one of the biggest issues.

So, 2008, seeing that youre in high school, you were most likely here to experience it.  There was the huge economic collapse building up because houses were gaining worth.

Because of this, investors began to see a chance at making large sums of money by doing something that you would think would end up bad.

Giving loans to people with bad credit score to buy houses.

They knew these people were more likely to default on their loans, the investor would then by law own the house and because prices are rising, they know they are going to make a ton.

This kept building and building and the houses were being defaulted on constantly and overtaken.

Well, supply and demand.  You have a ton of houses with people kicked out and the people that need houses are the people with bad credit score that were just kicked out.

So there was a need for housing, but only for people who could not afford it.

The pricing of housing plummeted and many investors who had on credit made the investment, had to declare bankruptcy.

This is obviously a more simple overview but it was so bad that the economy dipped down to its lowest point since the great depression.  Government worked very hard to try and control the situation and contain it from causing the final economic collapse of society and right now, we are in an "okay" economy so it seems that the restrictions worked.

Government had to intervene in the free market because if they did not, the economy would collapse.

And just to add, by saying we are in an "okay" economy, thats an understatement.  Its insane the amount of stuff we have compared to other countries.

You may think that if we chose a random person, he would kinda be like you.  Well, turns out we are the minority in the world.

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3 0
3 years ago
What standards do researchers measure life satisfaction by?
ZanzabumX [31]

Answer:

Having a healthy life, liberty, and the pursuit of happiness

Explanation:

:)

8 0
1 year ago
Every open-sided floor or platform that rises four feet or more above the adjacent floor must be protected on all open sides by
slavikrds [6]

Answer: toeboard

Explanation: The Occupational Safety and Health Administration defines the Walking-Working surfaces regulation for the secure construction of stairs in industrial environments. For platforms or walls that are 4 feet or higher above the ground and do not have surrounding walls, it is mandatory to build a standard railing around them. In cases where there is a moving machinery, people can pass or there is an equipment which would be harmful when falling objects come in contact with it, the railings must have a toeboard.

A toeboard is an equipment fixed vertically to prevent items from falling for the platform.

4 0
3 years ago
Read 2 more answers
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