Series 79 Investment Banking well answered rated A+ 2024

Series 79 Investment Banking Front-Running - correct answer Trading ahead of client orders Painting the Tape - correct answer Creating a misleading appearance of trading Pegging - correct answer Manipulative activity used to keep a price from falling Capping - correct answer Manipulative activity used to keep a price from rising Insider Trading Criminal Penalties - correct answer Individuals: max fine of $5m, 20 yrs Corporation: max fine of $25m Insider Trading Civil Penalties - correct answer Disgorgement of profit up to 3x damages Insider Trading Bounties - correct answer Up to 10% may be paid Rule 10b-18 - correct answer How an issuer or affiliate may buy its own stock in the secondary market: Use one broker/dealer. -Purchases may not be made in the beginning of the day or within the last 10 (actively traded) or 20 minutes of trading day. -Purchases may not be made at prices higher than the highest independent bid or the last transaction (whichever greater). -in falling market, when independent bid drops below that of a passive market maker, the passive market maker may maintain its bid until its purchases have reached or exceeded the lesser of two times the minimum quote size for that security (as set by FINRA), or the passive market maker's remaining daily limit. -Purchase volume may not exceed 25% of ADTV for that security in the last 10 weeks