Question

MT Securities is a broker-dealer registered in 42 states. MT Securities makes a market in over 100 different stocks and participates in the underwriting of approximately 22 IPOs per year. Which of the following actions would be prohibited under NASAA's Statement of Policy on Dishonest and Unethical Business Practices of Broker-Dealers and Agents?

Answer 1

Answer:Gain Customized Business Management Resources and One-on-One Support. Learn More Today. Work with a Broker-Dealer Who Puts Financial Advisors First and Plan for Your Future. Major Growth Opportunity. Achieve Your Career Goals. Flexible Career Support.

Step-by-step explanation: