A Securities Professional Who Engages in the Business of Buying

question 361

Multiple Choice

A securities professional who engages in the business of buying and selling securities for their own account is a:

• A)broker
• B)dealer
• C)investment adviser
• D)scalper
• E)churner

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Definitions:

Temper

A person's state of mind seen in terms of their being angry or calm; also refers to a particular mood or disposition.

Crying Spells

Episodes of intense crying or sobbing that can occur due to emotional distress, health conditions, or psychological factors.

Regression

A defense mechanism identified by psychoanalysis where an individual's behavior and consciousness revert to an earlier stage of development in response to stress or conflict.

Habitual Drinker

An individual who regularly engages in drinking alcohol, often to the point where it becomes a routine or compulsion.