If Clients of a Brokerage House Feel That There Are

question 24

Multiple Choice

If clients of a brokerage house feel that there are anticompetitive activities being used among and between the various brokerage houses that result in price impacts for them,then:

• A)their remedy is under the Sherman Act for price fixing or monopolization.
• B)their remedy is under the Clayton Act for vertical price discrimination.
• C)their remedy is under the federal securities laws and regulations.
• D)none of the above

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Definitions:

Proactively Tried

Refers to efforts made in anticipation to address potential issues or to capitalize on opportunities.

Prevent Misconduct

Measures or policies implemented to stop improper, unethical, or illegal actions within an organization.

Organizational Ethics

The principles and standards that guide behavior and decision-making processes within an organization, shaping its culture and reputation.

Ethical Compliance Programs

Implemented frameworks within organizations designed to ensure activities and practices comply with ethical standards, laws, and regulations.