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Question 369

A potential client calls a broker-dealer wishing to purchase securities. The client does not appear to
be concerned with any fees associated with the account or price of the securities. Further
information provided by the potential client indicates the individual may have relatives working for a
company in which the potential client wants to invest. Which type of activity is the potential client
attempting to commit?

  • A. Transfer of value to relatives
  • B. Usage as a deposit account
  • C. Usage of insider information Most Votes
  • D. Transfer funds to a third-party
Answer:

B


Explanation:
Reference:
https://www.nasaa.org/wp-content/uploads/2021/10/1956-Uniform-Securities-Act-with-
NASAA-Updates-and-Commentary.pdf
(2)

User Votes:
A 5 votes
50%
B 16 votes
50%
C 51 votes
50%
D 10 votes
50%
Discussions
0 / 1000
Sorak
1 year, 2 months ago

It is insider information clearly

2
AnaA.
1 year, 1 month ago

D. Transférer des fonds à un tiers

0