When a Securities Professional Buys and Sells Excessive Amounts of Stock

question 190

Multiple Choice

When a securities professional buys and sells excessive amounts of stock for a client's account to make extra-large commissions from the trades, she is:

• A) kiting
• B) insider trading
• C) dealing
• D) scalping
• E) none of the other choices

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Definitions:

Social Mores

Strict norms that control moral and ethical behavior in a culture.

Uniformly

In a consistent or identical manner across a given set of conditions or cases.

Significant

Having a particular meaning, importance, or consequence, often in a specific context.

Native Language

The first language that a person learns from birth, often spoken in the household or community of the individual.