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
You are sitting at a restaurant. The person at the table next to you is talking very loudly. This noise is a(n) _____ .
Dahasolnce [82]

Answer:

utility

Explanation:

8 0
3 years ago
Courts that have the authority to review a decision made by a lower court are said to have ________.
tatyana61 [14]
<span>Appellate jurisdiction</span>
5 0
3 years ago
Read 2 more answers
Emilio is facing imminent death. consistent with a recent study of canadians in a similar situation, given a choice, the least d
Anton [14]

Answer:

In a nursing home

Explanation:

Emilio is facing imminent death. consistent with a recent study of canadians in a similar situation, given a choice, the least desirable place he would choose to die is In a nursing home

4 0
3 years ago
If the less developed world is called "the third world," then what are "the first world" and "the second world"?
notka56 [123]
Basically the the countries made this system during/after the cold war. The first world is the highly developed countries with high literacy rates and less unemployment (mostly people thing of western countries aka the U.S). The second world is usually known by the Eastern Bloc who were former industrial socialists. 
8 0
3 years ago
Economics is defined as a study of the
BARSIC [14]
You would best describe Economics as the study of how society allocates resources and good as well. This would be how resources are limited, and how they can keep up with the unlimited demands and wants of the resources. 
7 0
3 years ago
Read 2 more answers
Other questions:
  • How can a cyclist minimize friction as he or she rides? A. by increasing the weight of the bike B. by increasing the tread on hi
    15·2 answers
  • Which type of director attempts to translate the play from the page to the stage as accurately and faithfully as possible?
    5·1 answer
  • 16.
    12·2 answers
  • How did the size of the Roman Empire change between 150 C.E and 500 C.E ?
    11·1 answer
  • Why was the Battle of Chancellorsville important?
    14·1 answer
  • Martin is from the czech republic and has jewish ancestry. Before he and his wife try to have a baby, he wants to take a genetic
    11·1 answer
  • true or false The First Amendment guarantees freedom of religion and allows the government to promote religion.
    8·1 answer
  • What is meant by Machiavelli’s belief that “the end justifies the means”?
    10·2 answers
  • Cognitive development has to do with:
    11·2 answers
  • What was the main reason Europeans wanted to explore the New World?
    7·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!