Dashboard
Review Topics
Drills
Practice Exams
Flashcards
Vocabulary
The proctors just offered me a position as a time-limit enforcer. I'm thinking about taking the job: if you mess with the buffalo, you'll get the horns...LITERALLY.

Potential Conflicts of Interest Drill

Dashboard > Violations > Potential Conflicts of Interest > Potential Conflicts of Interest Drill
  • 1.

    Joe the Broker's firm is a large owner of ABC stock, which they recommend and sell to their clients. Joe recommended and purchased this stock for a client without disclosing who the seller was. Joe the Broker is guilty of which of the following conflicts of interest:

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

    We'll give you the first and last question on this exam. So you know we actually did the whole thing.

    $14.99

  • 2.

    Les Bunkle of Smarmy & Sons Broker-dealers recently encouraged a client to purchase shares of XYC Company. Les has been selling XYC Company short for the past month. If Les does not disclose this to his client, which conflict of interest is he in danger of violating?