Series 7: Exercise

Taken from our Series 7 Top-off Online Guide

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

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