Câu 56: SIE: Securities Industry Essentials
For which of the following reasons is it unethical for a registered representative to encourage a customer to use capital gain distributions received in cash to meet a letter of intent (LOI) requirement?
Nội dung câu hỏi
For which of the following reasons is it unethical for a registered representative to encourage a customer to use capital gain distributions received in cash to meet a letter of intent (LOI) requirement?
Các lựa chọn
Đáp án được giữ gọn theo nhãn A, B, C, D trong phần bình chọn tương tác.
- A. This offers the customer an unfair profit advantage.
- B. The customer is permitted to make LOI purchases only with after-tax dollars. — đáp án hiện tại
- C. The amount of the capital gain distribution is included in the price paid for the shares.
- D. A customer is permitted to invest capital gains at no sales charge, whereas purchases under an LOI have a sales charge.
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