New Year Sale Special Limited Time 65% Discount Offer - Ends in 0d 00h 00m 00s - Coupon code: ac4s65

A registered representative (RR) owns 500 shares of a thinly traded security.

FINRA SIE Full Course Access
FINRA SIE View All Questions

A registered representative (RR) owns 500 shares of a thinly traded security. A customer of the firm calls the RR to place a sell order for 10,000 shares of the same security. The RR sells his shares before entering the customer's order to sell. Which of the following activities has the RR just engaged in?

A.

Selling away

B.

Front running

C.

Insider trading

D.

Market manipulation

SIE PDF/Engine
  • Printable Format
  • Value of Money
  • 100% Pass Assurance
  • Verified Answers
  • Researched by Industry Experts
  • Based on Real Exams Scenarios
  • 100% Real Questions
buy now SIE pdf
Get 65% Discount on All Products, Use Coupon: "ac4s65"
Next
Which of the following responses describes a collateralized mortgage obligation (CMO) tranche?
Which of the following responses describes treasury stock?
Previous