Free Version

Review Topics
Practice Exams
Know how many questions to expect in a section. There are about 500,000 buffalo in North America...and I expect to see each one of them at the next family reunion. (Uncle Abe, I'm looking at you.)

SSPN: ShmoopCenter Recap #6

Dashboard > Violations > SSPN: ShmoopCenter Recap #6

SSPN: ShmoopCenter Recap #6

To Do List


    Myron’s turn as Stiffy is putting him on par with some pretty nasty characters. It’s kind of epic, really, the way he is racking up violations. As master of Myron, Stiffy has recently bitten gleefully into such forbidden fruits as Misappropriation of client funds, Unauthorized borrowing of client funds/securities, Sharing in a client’s profits/losses, Hiding written complaints, Making performance guarantees, and Misusing “Certified” or “Approved”.

    Fortunately, Marx has finally s...

    Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

    Next: Insider Information
    Prev: Poor Marx

    *Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.