SIE: Exercise

Taken from our SIE Online Guide

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Exercise

Circle TRUE or FALSE

1. TRUE or FALSE. A member firm is never allowed to trade ahead of customer orders.
2. TRUE or FALSE. Churning takes place when a representative does not get permission to make excessive trades.
3. TRUE or FALSE. Market makers may accept payment from an issuer for submitting a quotation but not as reimbursement for regulatory expense

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