A broker-dealer and its associated persons may be subjected to sanctions for violations of FINRA and SEC rules. Which of the following penalties can be levied against both the member firm AND its associated persons?
A. Censure
B. Limits placed on activities
C. Imprisonment
D. Loss of SIPC coverage

Answers

Answer 1

Answer:. Censure

Explanation:

The penalty that can be levied against the broker-dealer and its associated persons that are subjected to sanctions for violations of FINRA and SEC rules is the censure.

The censure means that the broker dealers and the associatee person's are disapproved.


Related Questions

which is the largest statue and where it is located in the world??​

Answers

Answer:

Spring Temple Budda

Located - Lushan County, Henan, Pingdingshan, Henan, China

The "Statue of Unity" is a statue of Indian politician Vallabhbhai Patel (1875–1950) erected in Narmada district of Gujarat state, India. When completed, this is the tallest statue in the world, measuring 182 meters (597 ft).

According to Marcia, which of the following four categories of identity development leads to the most psychological health, achievement motivation, and moral reasoning ability in adolescents?
a) identity diffusion
b) identity foreclosure
c) moratorium
d) identity achievement

Answers

Answer:

The category which leads to the most psychological health is d) identity achievement.

Explanation:

Psychologist James Marcia refined Erik Erikson's theory of psychosocial development, and focused on the development of teenagers. According to Marcia, adolescents go through four different stages of identity: diffusion, foreclosure, moratorium and achievement.

While diffusion is the least mature status, identity achievement is the one that leads to the most psychological health. It indicates that the individual, after exploring and experimenting, has chosen a coherent identity, a value, or a role and committed to it. However, this status is often not achieved during adolescence.

Which is true about East African culture? A.East African cultures have not changed over time. B.Both Islam and Christianity are practiced in the region. C.East Africans only practice traditional religions. D.Swahili is the only language spoken in the region.

Answers

Answer:

b

Explanation:

In Bhagalpur (Bihar), when a child born, the family plants ten saplings of trees to highlight how such traditions help in protecting nature.
you have 20 points

Answers

Answer:

The tradition of planting of trees is practiced in Bhagalpur (Bihar) when a child is born. Such tradition however helps in protecting nature through the various importance of trees in the ecosystem such as helping to control erosion.

Trees are also important in the production of oxygen for breathing and reduction of greenhouse gases such as CO2 which is harmful to animals land humans but useful to the plants.This enables a good quality of air and life generally. Trees also acts as habitats for some animals. These are the reasons why trees are very important in the protection of nature.

During her speech on vacationing on the Greek island of Hydra, Mel asks her audience to imagine a place where the sound of the sea and the wind are not interrupted by honking horns and screeching tires; a place where the only traffic sounds are the soft whirr of bicycle tires on the pavement. Melonie is using _________ to give her audience a sense of the place. Group of answer choices

Answers

Answer:

imagery

Explanation:

Imagery jhyibgubvuuvribf

What is mass production?

1 when workers and machines are brought together in one place

2 identical pieces that could be assembled quickly

3 when machines take the place of many hand

4 tools the rapid manufacture of large numbers of identical objects


PLS ANSWER FAST

Answers

Mass production facilitates the efficient production of a large number of similar products

If you find a suspicious item, the item and/or the area should be left untouched, doors closed to prevent others from entering the area, hands or exposed areas washed with soap and water, and notify you supervisor and instructor immediately.
A. True
B. False

Answers

Answer:

True

Explanation:

what are the most important
social groups of sri lanka?​

Answers

Answer:Answer: The most important groups of  Sri Lanka are as given below :

(i) Sinhala speaking

(ii) Tamil speaking

Explanation: The two main social groups in Sri Lanka are:

• Sinhala-speakers - 74%

• Tamil-speakers - 18 %. Among Tamils there are two subgroups;

• Tamil natives or the ‘Sri Lankan Tamils’ - 13 %.

• ‘Indian Tamils’- 87 % of the Tamil-speakers. Their forefathers came from India as plantation workers during colonial period.

QUESTION 48 Ira has just stolen a purse from a woman on the subway. He then says to himself, "If that woman really wanted her purse, she would have held it closer to her body." This statement provides a good example of a. morality of justice. b. moral disengagement. c. autonomous morality. d. power assertion.

Answers

Answer:

I think its autonomous morality.

since he is making his own conclusion as to why its okay to take the purse.

Ira has just stolen a purse from a woman on the subway. He then says to himself, "If that woman really wanted her purse, she would have held it closer to her body." This statement provides a good example of autonomous morality. The correct option is C.

What are heteronomous and autonomous morality?

Autonomy is the capacity to know what morality requires of us, and it functions not as the freedom to pursue our goals, but as an agent's ability to act on impartial and real‐world rules of conduct, certified solely by reason. Heteronomy is the state of acting on desires that are not justified by logic.

Moral Independence Moral relativism - morality based on your own rules - is another term for autonomous morality. Children understand that there is no absolute right or wrong and that morality is determined by intentions rather than consequences.

Thus, the ideal selection is option C.

Learn more about autonomous morality here:

https://brainly.com/question/14454832

#SPJ5

Some people contemplate their lives and realize they are dissatisfied. They realize that missed opportunities have passed, and that they have not accomplished what they wished. According to the theory of psychoanalyst Erik Erikson, these individuals experience __________. Group of answer choices self-correction

Answers

Answer:

Despair

Explanation:

According to Erikson, this stage begins at 65 and continues till death. An individual would begin to have reflective thoughts on their life and begins to think of those things they didn't achieve. This would Ultimately lead to despair. Because they would be filled with unsatisfactory feelings and bitterness. There would be feelings of defeat and struggles between their sense of integrity.

Heather reads an article entitled, "Waist Circumference Associated with Life Expectancy." She wants to use the correlation reported in the article to predict her own life expectancy based on her waist circumference. What kind of correlation would allow her to make the most accurate prediction

Answers

Answer:

"A strong positive correlation" is the correct answer.

Explanation:

The positive correlation seems to be the beneficial association between the two parameters in which the parameter fluctuations are positive as well as significantly related and that if another variable keeps increasing maybe the other variable keeps increasing as well and conversely.It is the proportion upon which two independent parameter functions in a comparable pattern.

Such that the aforementioned seems like the kind of correlation will indeed actually enable someone to make the forecasting as accurate as possible.

Write a paragraph on the history of music and write 3 reasons why it is important

Answers

Music emerged with the need for human beings to apply sound in their lives. Humanity has a very old historical relationship with music since there are reports and researches that prove that human beings started to produce sound actions since prehistory, inspired by the sounds they heard in nature. Over time, the human being's ability to implement sounds, rhythm, melodies, lyrics and voice to the sound elements they knew became more and more efficient, making music an essential artistic element in human life. Music assumed a gigantic degree of importance, because it was an art form that allowed men to express feelings, report memories, raise emotions and tell and record important historical periods, among other actions.  In addition, music allowed body expression through dance, which strengthened its importance in human relationships. Last but not least, music has assumed a political importance, being able to report and teach concepts, disseminate and criticize political guidelines and show popular revolt in relation to them.

Answer:

Why is the history of music so important?

Music is a universal feature of the human experience. Yet each culture and society has its own style of music. When we study the music of cultures in the past (and cultures in the present) this gives us huge clues into what life and society was — or is — like, and how people felt about it.

Explanation:

Heather and Jeff live on a farm in Iowa with their three children. They are concerned about the environment because of the high cost of heating their home in winter. Which environmental activism segment best describes Heather and her family

Answers

Answer:

Proud Traditionalists

Explanation:

The correct answer to the given question is : Proud Traditionalists.

Proud traditionalists are motivated by practicality, efficiency and family to turn into an environmentalist. This is the case in the given scenario, due to increased cost Heather and Jeff are considering to lower the impact of the carbon footprints on the environment.

Digestion primarily occurs where

Answers

Answer:

In the stomach

Explanation:

All the food digest in the stomach

According to the UNAIDS Strategy 2016-2021, violations of _____________ including violence, continue to render women and girls more vulnerable to HIV and prevent them from accessing services and care.

Answers

Answer:

Women's Rights

Explanation:

The joint United Nations Programme on HIV/AIDS is an initiative of the United Nations bringing together 11 UN system organizations for the fight against the pandemic AIDS(Acquired Immune Deficiency Virus). According to then, the deprivation of women rights across the world is a great threat to prevention of HIV and aids for the female gender , also working against this genders access to care and treatment against this virus

In classic research, Dweck (1975) found that boys tend to attribute their poor performance in math to _____ factors, whereas girls tend to attribute their poor performance in math to _____ factors.

Answers

Answer:

In classic research, Dweck (1975) found that boys tend to attribute their poor performance in math to unstable internal factors, whereas girls tend to attribute their poor performance in math to stable internal factors.

Explanation:

Here, we are talking about motives related to attribution. Notice that Dweck found that boys attribute their success in math to unstable internal factors, and girls to stable internal factors.

External and internal are related to the locus of the attribution, the "location" of the cause of success or failure. For instance, an external attribution may be the fact that the test was easy. An internal one may be our own ability in math.

Unstable and stable are related to the stability of the attribution. For instance, cramming for the exam is an unstable attribution, since the effort we put into studying may vary each time. Ability, on the other hand, is a stable one, since it lasts and has consistency.

Research finds that those with high self-esteem choose to interact with people who evaluate them positively, while those with low self-esteem choose to interact with people who evaluate them negatively. This shows that, generally speaking:____________

Answers

People like to associate with people that treat them in a way they want to be treated

why earth's surface is not a consistent state?

Answers

Answer:

Because it consists of three different layers of composition.

Explanation:

The Earth's surface does not have a consistent shape because it is not formed by a single layer, but rather three layers of different compositions and organizations, which end up removing the consistent character from the surface and triggering a character that changes frequently.

These three layers are the lithosphere (which is solid), the hydrosphere (which is liquid) and the atmosphere (which is greasy).

Four-year-old Carmen is at the checkout counter with her mother. She sees a candy bar that she really wants. When her mother isn't looking, she grabs one, opens it, and takes a bite from it. Her mother notices the chocolate on her face as they are leaving and asks Carmen where she got chocolate. Carmen happily shows her mom the chocolate bar. Carmen's mom tells her that she should not steal and tells Carmen that she is now in trouble. Carmen never steals again. According to Freud, why would Carmen never steal again?

Answers

Question options:

A. Carmen is now afraid of her mother.

B. Carmen now understands that stealing is morally wrong.

C. Carmen sees that her mother's reaction is negative, and through parental introjection, Carmen incorporates the idea that stealing is bad into her value system so that she will not lose the love from her mother.

D. Carmen's Electra Complex will drive her avoidance of stealing in the future.

.

Answer:

C. Carmen sees that her mother's reaction is negative, and through parental introjection, Carmen incorporates the idea that stealing is bad into her value system so that she will not lose the love from her mother

Explanation:

Introjection in Freudian theory refers to one's internalization of authority. According to the Freudian theory by Sigmund Freud, a person internalises the ideas and values of another person and it becomes part of his Super ego. In the example, the girl internalises the authority of his parents and learns that stealing is bad and so adopts that as part of her moral values. Introjectiom does not involve much thoughts and is just usually adopted more unconsciously as in a child would adopts the views and values of her parents.

You have walked in late to class, and your psychology professor is explaining how one personality theorist sees personality as a relatively stable set of potential responses to various situations. You know immediately that your professor is talking about the theories of

Answers

This question is missing the options. I've found the complete question online. It is as follows:

You have walked in late to class, and your psychology professor is explaining how one personality theorist sees personality as a relatively stable set of potential responses to various situations. You know immediately that your professor is talking about the theories of

a. J.ulian Rotter.

b. B. F. Skinner

c. Albert Bandura

d. John Watson.

Answer:

You know immediately that your professor is talking about the theories of

a. J.ulian Rotter.

Explanation:

J.ulian B. Rotter was born in Brooklyn, New York, in 1916. He was a psychologist who developed influential theories such as social learning theory and locus of control. According to Rotter, personality can be described as a relatively stable set of potentials responses to different situations. However, stable does not mean unchangeable. To Rotter, if you can change the way a person thinks, you can also change the way they respond or behave.

NOTE: I had to spell J.ulian like this because, for some reason, Brainly interprets it as a bad word. That also happens with other similar names such as J.uliet.

write some point on ideal environment ​

Answers

Answer:

It's always a combination of things that makes me feel that way, but if I break it down, my ideal environment would have to include these three elements: water, gardens & markets. Water is calming and invigorating at the same time and it's ever changing. You never look at water twice and see the exact same thing.

Explanation:

Good luck Brainliest please

A woman borrows a small amount of money to buy a chicken. She sells the eggs from that chicken to repay her loan and turn a profit. She then takes out another loan to buy more chickens. She sells even more eggs, repays her loan, and borrows more to build a chicken coop. This would be an example of A. currency manipulation. B. national infrastructure. C. a government subsidy. D. a microfinancing loan.

Answers

Answer:

currency manipulating

c) Explain two reasons why justice is important to Christians. Include a source of wisdom and authority. (5)​

Answers

Answer:

Justice is important to Christians because the doctrine doesn’t support any form of retaliation or revenge for any wrongdoing. Instead Christians are told and encouraged by the Bible to always forgive one another of any deeds according to how God forgives us too.

Christianity talks about not putting law into one’s hands. This is why justice is valued by Christians when the perpetrators or guilty are punished by the relevant authorities.

(A.S.A.P !!!)
Mr Amin's car broke down on his way to his office. He tried to push the car however the car was not moving. After 15 minutes of trying, he felt very tired . Then he decide to call mechanic.
Did Mr Amin had done any work? Explain your opinion.​

Answers

Yes, trying to move his car is work

The Law of Universal Gravitation was discovered by

Answers

Sir Isaac Newton

Galileo (1564-1642) pointed out that heavy and light objects fall toward the earth at the same rate (so long as air resistance is the same for each). But it took Sir Isaac Newton (in 1666) to realize that this force of attraction between masses is universal!

Answer: sir Isaac Newton-

An investigator is confronted with a life-threatening situation that necessitates using a test article in a human subject who is unable to provide informed consent and there is no time to obtain consent for the individual's legal representative. Under the FDA regulations, describes the best course of action for the investigator.

Answers

Answer:

The  Institutional Review Board will be notified later.

Explanation:

The objective of informed consent provides sufficient information to a potential subject and enables that individual to make an informed choice about involvement in research. When both the investigator and an independent practitioner confirm the condition entails the application of the test article. In such circumstances, an exception can be made for informed consent under the  Food and Drug Administration regulations.

On the map above, country A is __________. A. Egypt B. Ethiopia C. Sudan D. Libya

Answers

Answer:

A. Egypt

Explanation:

Assuming you are talking about the map I inserted below, the answer would be A. Egypt.

Hope this helped !

Answer:

egypt

Explanation:

cause i a smartie

Rohini tells you that she once thought that the dishwasher hated her and wanted to eat her. In fact, she said that she felt that the machine was alive. At the time, Rohini was a normal four-year-old and was not mentally disturbed. According to Piaget, Rohini, at that time was probably in which stage of cognitive development

Answers

Answer:

Preoperational

Explanation:

Preoperational stage is the phase of development that occurs in between between the age of two and seven years. This involves them using signs and symbols to pass their messages across.

They are mentally okay but lack logic or ideas in explaining certain scenarios. This is why the child thought that the dishwasher was alive, hated her and wanted to eat her.

Liz is a 70-year-old woman who has developed an irrational fear of open, crowded places and avoids leaving her home. This fear began after Liz lost her husband. In this scenario, Liz suffers from _____.

Answers

Answer:

Agoraphobia.

Explanation:

In this scenario, Liz is a 70-year-old woman who has developed an irrational fear of open, crowded places and avoids leaving her home. This fear began after Liz lost her husband. Therefore, Liz suffers from agoraphobia.

Agoraphobia is a type of anxiety disorder in which an individual has abnormal and persistent fear of open spaces, crowded places or any such situation that might cause them to feel trapped, unable to escape thereby causing them to panic, helpless or feel embarrassed.

Hence, anyone suffering from agoraphobia would detest going to open or crowded places and avoids leaving their house due to irrational fear of being trapped or access to escape is impossible.

Additionally, please note that agoraphobia is a mental condition which has no cure but can only be treated temporarily because it is usually chronic.

One of the most popular ways that interest groups discredit a state judge and cost him or her reelection is a. Charging him or her with incest.b. Charging him or her with being soft on crime.c. Charging him or her with being inexperienced.d. Charging him or her with being too wealthy.

Answers

Answer:

B. Charging him or her with being soft on crime.

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Max and Sven bike away from home in the same direction starting at noon. They bike at constant speeds. Max bikes at xmph and he is ymph faster than Sven. By 4pm, how far ahead of Sven would Max be? Translate into an algebraic expression and simplify if possible. What does the conversation between Hafa, Amil, and Nisha suggest about their point of view on Partition? In other words, do they agree with Partition, Question 17 of 25Why do plants produce more carbon dioxide than oxygen during the night?A. Respiration can only occur when there is no available sunlight. B. Photosynthesis only produces carbon dioxide during the night.C. Respiration can happen without sunlight, but photosynthesiscannot.D. Respiration produces oxygen during the day and carbon dioxide atnightSUBMIT A believer in monotheismrejects prophecies. worships a single god.expects to be reincarnated.makes a personal covenant with God. Which Graph represents the solution to the compound inequality 4x +8< -16 or 4x + 8 > 4 16. Use yesterdays stock table for the company Icarus to answer the following questions.52-week PriceHigh LowStockSymbolDividendAnnual Yield Return (%)P/E ratioVolume TradedHigh LowPrice PriceClosing PriceNet Change28.38 15IcarusICR0.411.12410530024 23.524 . . . .a. What was the high price for Icarus stock over the last 52 weeks?16a. _______________b. If you owned 1000 shares of Icarus stock last year, what is the dollar amount of the b. _________________dividend you received?c. What is the annual yield return for dividends alone?c. _________________d. How many shares of Icarus stock were traded yesterday?d. _________________e. What was the low price for Icarus stock yesterday?e. _________________f. What was the price of Icarus stock at the close of the stock exchange yesterday?f. _________________g. Compute Icaruss annual earnings per share using the formula below.g. _________________ with a y-intercept 10, x-intercept 2, and equation of axis of symmetry x-3=0 If you're good at bearings pls help meeee with question fourteen and show full working out tyy ;) To find the number of units that gives break-even for the product, solve the equation R C. Round your answer to the nearest whole unit A manufacturer has total revenue given by the function R = 90x and has total cost given by C 35x + 17,000, where x is the number of units produced and sold. A, 55 units B. 125 units C. 136 units D. 309 units DIRECTIONS: Road the question and select the best responsA right prism of height 15 cm has bases that are right triangles with legs 5 cm and 12 cm. 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Clear my choice who was first president Read these sentences from Paragraph 5 of the passage. Groups in some parts of the world made innovations so dramatic that historians call it the Neolithic Revolution. The Neolithic Revolution is also referred to as the agricultural revolution. It marked a great shift, as humans turned from hunting and gathering to farmingfrom food getting to food producing. How does the phrase "agricultural revolution" affect the passage?It implies that the passage is intended for people with an interest in the early development of food production. It indicates how farmers have always fought to protect their land and animals from being destroyed by hunters. It makes readers aware of the massive changes that occurred in how people found new sources of food. It shows readers the frustration that the farmers felt using outdated farming methods. A(n) ________ is a large group of islands? Please help me with this question regarding TRIGONOMETRY! Calculate the ratio of moles of H2O to moles of anhydrous CuSO4 in CuSO4. 1H2O, CuSO4, 3H2O, CuSO4, 5H2O, CuSO4, 7H2O, and CuSO4, 9H2O. (Mol wt. of H2O- 18.02g; Mol wt. of CuSO4 - 159.61g). Rockville, Inc. which uses a job costing system, began business on January 1, 20X3 and applies to manufacture overhead on the basis of direct labor cost. The following information relates to 20X3: Budgeted direct labor and manufacturing overhead were anticipated to be $200,000 and $250,000, respectively. Jobs number #1, #2, and #3 were begun during the year and had the following charges for direct material and direct labor:Job number DM DL#1 $145,000 $35,000#2 320,000 65,000#3 55,000 80,000Job #1 and #2 were completed and sold on account to customers at a profit of 60% of the cost. Job #3 remained in production. The actual manufacturing overhead by year-end totaled $233,000. Rockville adjusts all under- and overapplied to the cost of goods sold.Required:Compute Rockville's ending WIP inventoryCompute Rockville's COG ManufacturedCompute Rockville's income statement.