2006 April No.44 – BROKER COMPLIANCE


Monetary penalties may be assessed against a broker for _____ if convicted after the broker license application was filed.

A. Illegal exportation of munitions

B. Embezzlement or misappropriation of funds

C. Robbery

D. Counterfeiting

E. Fraudulent concealment or conversion

[bg_collapse view=”button-green” color=”#4a4949″ icon=”arrow” expand_text=”Show Answer and Citation” collapse_text=”Hide Answer and Citation” ]

The Answer is: A

Citation: 19 CFR 171 Appendix C IV

[/bg_collapse]



Subscribe
Notify of