Series 7: Exercise

Exercise

Write whether the penalty is an individual penalty for insider trading firm penalty.

1. 1. _____ A civil penalty of up to treble the benefit
2. 2. _____ A civil penalty of up to treble the benefit or $1 million, whichever is greater
3. 3. _____ A criminal fine of up to $25 million
4. 4. _____ A criminal fine of up to $5 million
5. 5. _____ A prison sentence