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Author Question: An unlicensed broker: A) Can still collect a commission for property sold. B) Violates state law by ... (Read 55 times)

jon_i

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on: Jun 24, 2018
An unlicensed broker:
 A) Can still collect a commission for property sold.
 B) Violates state law by taking listing agreements.
 C) Neither a nor b
 D) Both a and b

Question 2

All of the following are true regarding SEC Rule 10b-5 except: ______.
 A) 10b-5 is the principal antifraud rule relating to the secondary distribution of securities.
 B) 10b-5 provides that a civil action for damages may be brought by any private investor who purchased or sold a security and was injured because of false, misleading, or undisclosed information.
 C) 10b-5 applies to all securities, whether registered or not, as long as use is made of the mail, interstate commerce, or a national stock exchange.
 D) 10b-5 does not require a plaintiff to show reliance on the misrepresentations.


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deja

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Reply #1 on: Jun 24, 2018
Answer to Question 1

B

Answer to Question 2

D


jon_i

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Reply 2 on: Jun 24, 2018
Thanks for the timely response, appreciate it

  • Member
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Reply 3 on: Yesterday
Wow, this really help

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