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
olasank [31]
3 years ago
5

An agent made written disclosure to his employing broker-dealer that he intends to execute a series of private securities transa

ctions with clients who do not have accounts with his broker-dealer. The agent did not acquire express written permission from the broker-dealer and did not receive compensation for executing the transactions, but did receive written acknowledgment of receipt of the agent's notice. In this case, the agent A) is required to register as a broker-dealer B) performed a matched trade as permitted under the rules C) is guilty of selling away D) engaged in an agency cross transaction
Business
1 answer:
choli [55]3 years ago
3 0

Answer:

C) is guilty of selling away

Explanation:

In the case when the securities are sold so the agents are prohibited from the transactions that are not recorded in the books of broker-dealer until there are authorized transactions in writing via the broker- dealer before to execution. If this cannot be happen so we called it as selling away

also the notification receipt would not be similar as the authorization

Therefore the option c is correct

You might be interested in
Draft an inquiry letter for purchase of 10 units of IBM P4 computers and 2 units of Lx 300 Epson printers to Kathmandu Computers
gtnhenbr [62]

Based on writing standards, the inquiry letter for purchase should begin with the sender's address and be written like a formal letter.

<h3>Structures of Letter of Inquiry.</h3>
  • The sender's address should be written at the beginning of the letter, followed by the receiver's address.

  • The letter must contain all the elements of the enquiring item, including their quantities.

  • There must be the date and address of the receiver included.

  • The letter's subject must be written clearly before the letter's content.

  • Ensure you provide the expected salutation at the beginning of the letter.

  • Write clearly and straightforward.

  • Provide reasons and inquiry descriptions.

  • Add your signature, name, and designation at the end of the letter.

Hence, in this case, it is concluded that there are specific ways to write a good inquiry letter.

Learn more about Inquiry Letter here: brainly.com/question/4208084

4 0
2 years ago
Which two actions should you take during an informational interview? Tell the interviewer that you would be willing to take any
storchak [24]
Speak with confidence
encourage the interviewer to do most of the talking- after all he is the interviewer, you don't want to dominate the interview
8 0
3 years ago
Read 2 more answers
Speedster Bicycles, Inc., collects 25% of its sales on account in the month of the sale and 75% in the month following the sale.
elixir [45]

Answer:

Total cash collection= $257,500

Explanation:

Giving the following information:

Sales:

March= $250,000

April= $280,000

Speedster Bicycles, Inc., collects 25% of its sales on account in the month of the sale and 75% in the month following the sale.

<u>Cash collection April:</u>

Sales on account from April= 280,000*0.25= 70,000

Sales on account from March= 250,000*0.75= 187,500

Total cash collection= $257,500

8 0
3 years ago
Phyllis invested $10,000, a portion earning a simple interest rate of 8 1 2 % per year and the rest earning a rate of 8% per yea
Vinil7 [7]
0.08x+0.085 (10000-x)=842.50
Solve for x
X= 1500 invested at 8%

10000-1500=8,500 at 8.5%
3 0
3 years ago
When a seller advertises goods for sale on a web site, that seller is making an offer to potential buyers.
Stels [109]
I believe that the answer is true.
7 0
3 years ago
Read 2 more answers
Other questions:
  • Why is a relentless workaholic quickly overwhelmed?
    15·1 answer
  • Don’s Fashions is noticing a downward trend in sales. The company has been reaching out using social media to connect with custo
    12·1 answer
  • Carla and Ben have been married for 50 years. During that time, Carla stayed home raising their children and maintaining their h
    9·1 answer
  • Y Toys is planning a 30,000 square foot expansion to their manufacturing facility to prepare for the introduction of their Barne
    11·1 answer
  • Beth is a college student looking for summer employment. She has two options. Firm X is employing lifeguards to patrol the beach
    13·1 answer
  • Joe believes in providing a work setting and culture that encourage workers to be creative and inspire employees to work hard to
    13·1 answer
  • Given the equity portion of a firm's balance sheets below, determine the average price per share at which new shares were sold b
    10·1 answer
  • Jasmine Company purchased a depreciable asset for $225,000. The estimated salvage value is $15,000, and the estimated useful lif
    8·1 answer
  • It is a business venture by two or more people​
    8·1 answer
  • Cy Burspace first began working for Epic Electronics in the mid-1970s as a business technology specialist. Today, he is the depa
    15·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!