giants2010

1. I think you’re right =Nolife. I think the rule is that you should show performance annually, but the key here is that he has consistenly outperformed, but all of a sudden he’s underperforming. So a radical change has occurred. It is disingenous to just leave the website as is–especially for 6 months.
4. The 5 day restricted period is choice B. I ruled that one out. It’s between A and C.
6. WOW I was totally overreading this one before. It’s real simple. Question asks which is most likely a violation. A is not a violation because you are allowed to refer brokers to clients. B is not a violation because he does explain the consequences–he makes clients sign a statement that says “I am aware of the consequences of my account.” What he does violate is Choice C–he does not give clients best execution and even tells them so.
Got 1 and 6 down I think–just need help with 4…..