SIE: Exercise

Taken from our SIE Online Guide

Exercise

Answer the following questions.

  1. 1. Alicia was found guilty of insider trading. She gained $50,000 by committing this crime. What is the maximum civil penalty that can be imposed on her?
  2. 2. What is the maximum civil penalty that can be imposed on Smith & Smith, Alicia’s firm?
  3. 3.&

Since you're reading about SIE: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the SIE
Please Enable Javascript
to view this content!