The Published Analysis and Recommendations of an Individual Brokerage Firm

question 75

Multiple Choice

The published analysis and recommendations of an individual brokerage firm is called a

• A) prospectus.
• B) comparative data source.
• C) back-office research report.
• D) broker's subscription report.

---

Definitions:

Dodd-Frank Wall Street Reform

Comprehensive legislation passed in 2010 aimed at reducing risks in the U.S. financial system through increased regulation.

Consumer Protection Act

Legislation aimed at protecting consumers from unfair, deceptive, or fraudulent practices in the marketplace, ensuring their rights are safeguarded.

Arbitration

A form of alternative dispute resolution where a neutral third party, the arbitrator, makes a decision to resolve a dispute outside of court.

Enforcement of Judgment

Enforcement of Judgment refers to the legal processes and methods used to compel a judgment debtor to comply with or satisfy a judgment that has been awarded to a judgment creditor.