Câu 78: SERIES-6: Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

Any person who willfully acts in violation of the Securities Act of 1933, or any SEC rule, is subject to a penalty of:

1. A. 10 years in prison or a $10,000 fine, or both.
2. B. 5 years in prison or a $10,000 fine, or both. — đáp án hiện tại
3. C. 10 years in prison or a $25,000 fine, or both.
4. D. 5 years in prison or a $5,000 fine, or both.