Series 63: Exercise

Taken from our Series 63 Online Guide

Exercise

Choose FRAUDULENT or NOT FRAUDULENT

1. _____ An investment adviser fails to disclose facts about a financial condition that is not material to its effectiveness as a firm.

2. _____ An adviser purchases a security for his own account in advance of purchasing a large block of the same securities for a client. He makes this purchase because he expects the price of the security to get a boost from his client’s purchase.

3. _____ An employee of a firm reports his securities holdings to the firm’s compliance office one week after first obtaining inside information.

Answers

1. Not fraudulent. On

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