Free Version

Dashboard
Review Topics
Drills
Practice Exams
Flashcards
Vocabulary
Test like an eagle: don't let time keep on slipping, slipping, slipping...into the future. Or at least past the time limit.

Recap #8

Dashboard > Violations > Recap #8

Recap #8

Don't doubt him, haters. Myron's company, AmericanEagleGold, just rifled off an amazing string of conflicts of interests. Let's see the replay in slow motion, shall we?

We had agency cross transactions, acting as principal, earning compensation in addition to advisory fees, recommending securities the adviser also trades in (aw, snap!), and finally, a classic move, acting contrary to recommendations.

Without a doubt, this guy should be going a way for a long, long time. But will anyone be able...

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

$63.63
Next: Advertisements  
  Prev: Potential Conflicts of Interest

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