試験Series_63 トピック1 問題44 スレッド
FINRA Series_63のリアル試験問題集
問題 #: 44
トピック #: 1
問題 #: 44
トピック #: 1
MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes
trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research
from its analyst department in return for the business and also serves as the custodian for some of
MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients. Is it in violation of any
securities laws?
trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research
from its analyst department in return for the business and also serves as the custodian for some of
MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients. Is it in violation of any
securities laws?
おすすめの解答：C 解答を投票する
Yes. MoeMoney is in violation of securities laws in accepting payment of its utility bills for
directing business to the smaller broker-dealer because this form of soft dollar compensation is prohibited.
Some forms of soft dollar compensation are permitted, such as the research and custodial services
MoeMoney receives from the larger broker-dealer, but the payment of any office overhead expense is not.
Allowed soft dollar compensation is deemed to benefit both the investment adviser and its clients; soft
dollars that seem to benefit only the adviser are not allowed.
directing business to the smaller broker-dealer because this form of soft dollar compensation is prohibited.
Some forms of soft dollar compensation are permitted, such as the research and custodial services
MoeMoney receives from the larger broker-dealer, but the payment of any office overhead expense is not.
Allowed soft dollar compensation is deemed to benefit both the investment adviser and its clients; soft
dollars that seem to benefit only the adviser are not allowed.
Komori 2024-09-26 12:39:09
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