Alice Allison, an agent with Winmore Securities, a registered broker-dealer, introduced some of her clients to an old college friend who was raising funds for a new start-up venture. Those who invested in the deal did so by having Alice transfer funds from their account at Winmore to the start-up. Alice did not charge or receive any compensation for doing this. Because of this limited role, Alice did not notify her supervisor at Winmore. Under the NASAA Statement of Policy on Dishonest or Unethical Business Practices of Broker-Dealers and Agents, Alice has engaged in the unethical business practice of:__________.
A) churning.
B) front running.
C) selling away.
D) sharing in accounts.
Answers
Because of this limited role, Alice did not notify her supervisor at Winmore. Under the NASAA Statement of Policy on Dishonest or Unethical Business Practices of Broker-Dealers and Agents, Alice has engaged in the unethical business practice of: selling away.
Selling away is the act of soliciting securities transactions outside of the securities broker-dealer that a person is registered with. It is the act of selling securities without the authorization of a broker-dealer firm. This is in violation of a securities industry rule which regulates the conduct of registered securities professionals.
The salesperson focuses on understanding the needs of the client and providing solutions to fulfil those needs in consultative selling, a customer-centered sales strategy. The goal of consultative selling is to establish a trustworthy relationship with the customer that benefits both parties.
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Related Questions
What is a business opportunity?
Answers
Answer:
a packaged business investment that allows the buyer to begin a business.
Explanation:
What does the law of diminishing marginal utility explain?
Answers
The law of declining marginal utility asserts that if a person consumes increasingly more units of a certain product, the additional satisfaction they receive from each new unit will eventually decline, maybe even to the point where their marginal utility is negative.
What is marginal utility?A person's change in pleasure (or utility) when they consume one more unit of an item or service is known as marginal utility, according to the economics discipline. It is the actual advantage or satisfaction a person receives from consuming one more unit of an item or service, and it aids in determining the demand for that good or service. The marginal utility of a good is greatest at the point of consumption of the initial unit. The marginal utility falls down as individuals consume more units, finally reaching a point of declining marginal utility where each extra unit provides them with progressively less satisfaction. Understanding consumer behavior and the need for products and services depends on having a solid grasp of marginal utility.
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the amount of money you may earn over time is called
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The amount of money you may earn over time is called Future Earnings Potential. Amount that you might make in your lifetime. Demographics. Individual traits like age, gender, race, income, and so forth.
What is Future Earnings Potential?
Earning potential is the anticipated increase in total return that an investor might anticipate from holding an investment (capital gains plus dividends and cash flows). Ratio analysis is a tool used by fundamental analysts to estimate a company's earning potential for investors.
Total future values of your contracts less your compensation, the payroll of the company, and other fixed costs. Your projected future business income is represented by the resulting number.
Let's start with the definition of your earning potential (income potential): this is the sum of money you should be able to accumulate over the course of a certain period of time. In other words, this is a reference to your potential for financial gain. Earning potentials are often determined by the highest wage in a given industry or profession.
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As you begin studying business law, you become overwhelmed by the sheer volume of laws that can affect business. You dive in and
begin the process of understanding where these laws come from; the first step in understanding how these laws apply to each other and
how they apply to your business.
You're looking at statutes that set out the penalties for forgery and learn that each state is free to make its own criminal laws that apply
just to that state. Which branch of government do you think creates statutes?
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The branch of government that creates these statutes (business law) to regulate business practice is known as the Legislative branch.
What is a business law?This refers to those law that consists of the enforceable rules of conduct that govern commercial relationships.
Some examples of business law in the country sphere covers the area of employment Law, immigration Law, Consumer Goods Sales, Antitrust, Intellectual Property, Taxes etc.
The Legislative branch creates the business law to protect the consumers and regulate business activities.
In conclusion, the branch of government that creates these statutes (business law) to regulate business practice is known as the Legislative branch.
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When the makers of Reese's candy bars decided to manufacture Reese's peanut butter, it was an example of
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When the makers of Reese's candy bars decided to manufacture Reese's peanut butter, it was an example of Brand extension.
A brand extension or brand stretching involves a company using one of its product brand names on a new product. The new product is known as a spin-off.
This method increases the new brand sales.
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TRUE OR FALSE: when you have a credit card or loan, it is better to have higher interest rate
Answers
Answer: Lower interest rate are better. Higher interest rate is worse
Explanation:
A lower interest rate is better when borrowing money through credit cards or loans. You will be paying less. High interest rates are only good when you are the lender.
Which important aspect of goal setting helps you keep an eye on the big picture and is useful for giving yourself feedback?.
Answers
The important aspect of goal setting that helps to keep attention on the big picture while being useful for feedback purposes is B. behavioral objectives.
What is a behavioral objective?
A behavioral objective is a learning outcome that details the learner's experience in measurable terms and forms the learning and performance evaluation basis.
Answer Options:A. teaming objectives
B. behavioral objectives
C. tactical planning
D. deadlines
Thus, the important aspect of goal setting is not teaming objectives, tactical planning, or deadlines but behavioral objectives.
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Alice is setting her goals. Which of the following would be considered an intermediate goal?
A) I will complete the GRI certification in the next four years
B) I will practice listing presentations twice a week with an experienced agent for the next two (2) months.
C) I will open my office within nine (9) years
D) I will distribute 200 business cards every month for the next six (6) months
Answers
An intermediate goal is a stepping stone to achieving a long-term goal. When it comes to setting goals, Alice needs to define three types of goals, including long-term, intermediate, and short-term goals. The three types of goals are interdependent on one another.
The correct answer to the given question is "B) I will practice listing presentations twice a week with an experienced agent for the next two (2) months."Explanation:Alice is setting her goals. Which of the following would be considered an intermediate goal?A) I will complete the GRI certification in the next four yearsB) I will practice listing presentations twice a week with an experienced agent for the next two (2) months.C) I will open my office within nine (9) yearsD) I will distribute 200 business cards every month for the next six (6) monthsThe intermediate goal is the one that helps to achieve long-term goals, and the intermediate goal acts as a stepping stone. For example, Alice can set the long-term goal of becoming a real estate agent. To achieve the long-term goal, Alice may have an intermediate goal to practice and develop listing presentations to be a successful real estate agent.The intermediate goals help the person to achieve the long-term goals; however, they have to be accomplished to move forward. Thus, the intermediate goal helps to get one step closer to the long-term goal. Therefore, option B) is correct and can be considered an intermediate goal.
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mention one Islamic song and recitation
Answers
Answer:
islamic song: SURAH AL IMRAN HOLY QURAN, BEAUTIFUL HOLY QURAN
I hope it helps you
Elijah and Aneesha are farmers. Each one owns an 18-acre plot of land. The following table shows the amount of watermelon and zucchini each farmer
can produce per year on a given acre. Each farmer chooses whether to devote all acres to producing watermelon or zucchini or to produce watermelon
on some of the land and zucchini on the rest.
Answers
Aneesha can also produce a total of 72,000 lbs of watermelon and 14,400 lbs of zucchini.
What is the total produce?Generally, Watermelon (lbs/acre) | Zucchini (lbs/acre)
------------------------|--------------------
4,500 | 800
If Elijah and Aneesha both choose to grow both watermelon and zucchini, Elijah can produce a total of 72,000 lbs of watermelon (4,500 x 18 acres) and 14,400 lbs of zucchini (800 x 18 acres).
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All economic systems have to answer the following questions. What goods should be produced? How should the goods be produced? For whom should the goods be produced?
Why must these questions be asked?
a. The opportunity cost of specialization is high.
b. There is inequality in the distribution of resources.
c. There are unlimited wants and limited resources.
d. The forces of supply and demand are unreliable.
Answers
An economic system is a means by which societies or governments organize and distribute available resources, services, and goods across a geographic region or country.
What is an Economic System?An economic system is a mechanism used by communities or governments to coordinate and distribute resources, services, as well as goods throughout a territory or nation. The factors of production, such as land, capital, labor, and physical resources, are governed by economic systems.
A society's or a specific geographic area's system of production, resource allocation, and distribution of products and services is known as an economic system or economic order.
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an employee can be dismissed if their job surplus to requirements' outline why this state ment is false
Answers
On September 3, 2018, Able, a single individual, purchased § 1244 stock in Red Corporation from his friend Al for $60,000. On December 31, 2018, the stock was worth $85,000. On August 15, 2019, Able was notified that the stock was worthless. How should Able report this item on his 2019 tax return?
Answers
He should ask them why it was worthless then after a while of thinking maybe have and idea on how to use it again
what happens to the equilibrium price and quantity when a country sets a low or medium tariff or import quota? group of answer choices the equilibrium price and quantity will be the same as with no trade. the equilibrium price and quantity will be lower than with no trade. the equilibrium price and quantity will be somewhere between those that prevail with no trade and those with completely free trade. the equilibrium price will be lower, and the quantity will be higher than the case with no trade.
Answers
The equilibrium price and quantity will be lower than with no trade to the equilibrium price and quantity when a country sets a low or medium tariff or import quota.
How do tariffs impact the price and quantity at equilibrium?A tariff is an import tax. A tax rise results in a loss in supply, which in turn raises the price of each unit. As a result, the equilibrium price would rise and the equilibrium quantity would drop.
The equilibrium price and quantity will typically fall between those that prevail with no trade and those with completely open trade when a nation adopts a low or medium tariff or import quota.
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According to the video, what are some qualities Clergy need? Check all that apply. knowledge of office technology able to speak multiple languages able to inspire confidence sensitive to the needs of others awareness of medical treatments
Answers
Answer:
It's C and D
Explanation:
It's correct on Edge! :3
Answer:
C and D are correct
Explanation:
hurry plz answer
Integrating research, writing a paper, and creating a presentation are examples of:
A. a study group. B. homework. C. expectations. D. competition.
Answers
Stephanie makes $ 16.89 working at chipotle. she works 40 hours a week. calculate his net salary after deducting 6.2% or (0.062) for social security deduction and 2.9% or (0.029) for medicare deduction. what is her net pay?
Answers
If Stephanie makes $ 16.89 per hour at Chipotle, her net compensation would be $431.25. After subtracting 6.2% or (0.062) for social security deduction and 2.9%, she works 40 hours each week for his net pay.
net pay = $(105.75+325.50)
In the United States, the Old-Age, Survivors, and Disability Insurance (OASDI) program, which is operated by the Social Security Administration (SSA), a federal agency, is referred to as "Social Security." Although its retirement benefits are its most well-known feature, it also offers income for injured workers and survivor benefits.
At the end of September 2022, more than 70.4 million Americans were receiving benefits. Let's examine how Social Security functions and how much money you might anticipate receiving from it. If Stephanie makes $ 16.89 per hour at Chipotle, her net compensation would be $431.25. After subtracting 6.2% or (0.062) for social security deduction and 2.9%, she works 40 hours each week for his net wage.
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Mr. Chopra decides to sell his business shares to the public to acquire additional finance. Under which component in the balance sheet should Mr. Chopra show the money he obtained from the shareholders?
Answers
When Mr. Chopra sells his business shares to the public and acquires additional finance, the money obtained from the shareholders should be shown under the "Equity" component in the balance sheet.
The component in the balance sheet should Mr. Chopra show the moneyEquity represents the ownership interest in a company, and it includes the funds contributed by shareholders in exchange for shares of the company's stock. When shares are sold to the public, the proceeds from the sale increase the equity of the business. This is typically reflected as "Share Capital" or "Common Stock" in the equity section of the balance sheet.
By showing the money obtained from the shareholders in the equity section, Mr. Chopra can accurately represent the ownership stake and financial position of the company.
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connect academy contracts with states to provide virtual public education. at connect academy, the work groups are divided into educators, assessors, recruiters, and business operations. connect academy’s structure is best described as
Answers
Answer:
This is called as hollow structure.
Explanation:
:)
The market failure that observes when some goods are systemically overused and depleted is _____.
Answers
The market failure that observes when some goods are systemically overused and depleted is Tragedy of the Commons.
What is the tragedy of the commons?In the tragedy of the commons, every person has an incentive to use a resource, but at the price of every other person, and there is no means to prevent anyone from using it. It was initially conceived by considering what would occur if each shepherd, acting in his or her own self-interest, permitted their flock to graze on the common field. Everyone acting in what appears to be their own best interest leads to dangerous overconsumption (all the grass is eaten, to the detriment of everyone)Underinvestment (since, who is going to pay to sow new seed?) and finally, resource exhaustion are other possible outcomes of the issue. Every person who consumes an additional unit adversely hurts others—and themselves too—who can no longer profit from the resource due to the resource's overwhelming demand. The resource of interest is typically readily accessible to everyone without restrictions (i.e., the "commons").To learn more about tragedy of the commons, refer to
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QUESTION 4 of 10: A clothing designer is looking for a job that can cover her living expenses of $5,000 per month. If she plans on working
forty hours a week, with four weeks a month, what's the minimum hourly wage she needs?
Answers
Answer:
$31.25
Explanation:
40 hours a week x 4 weeks a month = 160 hours of work per month
$5,000 divided by 160 = $31.25
Upon dissolution of the partnership, one -third of the goes to each of its three founding partners. Since Partner Abel is deceased, his portion is split evenly among his four heirs. What portion of the company's value does each of these heirs receive?
Answers
Upon the dissolution of the partnership, the portion that would have gone to Partner Abel is split evenly among his four heirs, resulting in each heir receiving 1/4th (25%) of the company's value.
In this scenario, with three founding partners and the dissolution of the partnership, the value of the company is divided equally among the partners, resulting in each partner initially receiving 1/3rd (33.33%) of the company's value.
However, since Partner Abel is deceased, his portion is distributed among his four heirs.
Since the portion that would have gone to Partner Abel is now split evenly among his four heirs, each heir would receive an equal share. Therefore, each heir receives 1/4th (25%) of the company's value. This distribution ensures fairness and equal treatment among Partner Abel's heirs.
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Which of the following is not a property of all linear programming problems?
A) the presence of restrictions
B) optimization of some objective
C) a computer program
D) alternate courses of action to choose from
E) usage of only linear equations and inequalities
Answers
Linear programming is a mathematical technique that is used to find the optimal solution to problems that involve linear relationships and constraints. Linear programming problems involve the optimization of some objective function subject to a set of constraints. The answer is c.
The objective function is a linear function of the decision variables, and the constraints are linear equations or inequalities that restrict the values that the decision variables can take. However, not all linear programming problems share the same properties. One of the given options, C) a computer program, is not a property of all linear programming problems. While computer programs can be used to solve linear programming problems, they are not a necessary property of all such problems.
The presence of restrictions (option A) and the optimization of some objective (option B) are both essential properties of linear programming problems. Linear programming problems must have constraints that restrict the values that the decision variables can take, and an objective function that is optimized subject to those constraints.
Option D) alternate courses of action to choose from is not necessarily a property of all linear programming problems. While some linear programming problems may involve multiple decision variables that represent different courses of action, others may only have a single decision variable.
Option E) usage of only linear equations and inequalities is a necessary property of all linear programming problems. Linear programming problems must involve linear relationships and constraints that can be expressed as linear equations or inequalities.
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Why is the automobile industry considered an oligopoly?
It offers little differentiation within the market.
It has significant barriers to entry.
It is controlled by companies that patent key technology.
It relies on price variation to attract customers.
It depends on brand loyalty and image to generate sales.
It is dominated by a few key players.
Answers
The reasons that the automobile industry is an oligopoly in market economics are because of B. It has significant barriers to entry and F. It is dominated by a few key players.
An oligopoly is a market condition where the possibility of firms colluding with each other exists.Firms in this market are interdependent, especially with regards to pricing.
Oligopolistic firms differentiate their products, and they have few producers.There are barriers to entry.
Thus, an oligopoly limits entries to a few key players who dominate the market.
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Answer:
B: It has significant barriers to entry.
E: It depends on brand loyalty and image to generate sales.
F: It is dominated by a few key players.
\for a note receivable, if the original terms of the debt are changed due to financial difficulties of the borrower, this is referred to as a
Answers
For a note receivable, if the original terms of the debt are changed due to the borrower's financial difficulties, this is referred to as a troubled debt restructuring.
A trouble debt restructuring means a restructuring of debt in which a creditor for any economic or financial reason related to any difficulty related to finance or money, in which a concession is granted. In order to consider trouble debt restructuring the person who has taken any debt must be experiencing financial difficulties and the person who has loaned him the money must grant a concession due to the debtor's financial problems.
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$3000 is invested at an APR of 1.8% for 12 years.
$10,000 is invested at an APR of 3.7% for 12 years
$40,000 is invested at an APR of 2.8% for 30 years.
Answers
After 12 years, the $3000 investment will grow to around $3,756.69, the $10,000 investment will grow to approximately $15,267.67, and the $40,000 investment will grow to about $99,477.83 over 30 years.
In the first scenario, $3000 is invested at an annual percentage rate (APR) of 1.8% for 12 years.
The formula to calculate the future value of an investment with compound interest is \(A = P(1 + r/n)^(nt)\),
where A is the future value, P is the principal amount, r is the annual interest rate, n is the number of times interest is compounded per year, and t is the number of years. Plugging in the values, we have
A = \(3000(1 + 0.018/1)^(1*12)\), which simplifies to
A = \(3000(1 + 0.018)^12\). Calculating this, we find that the future value is approximately $3,756.69.
In the second scenario, $10,000 is invested at an APR of 3.7% for 12 years. Using the same formula, we have
A =\(10000(1 + 0.037/1)^(1*12)\), which simplifies to
A =\(10000(1 + 0.037)^12\). Calculating this, we find that the future value is approximately $15,267.67.
In the third scenario, $40,000 is invested at an APR of 2.8% for 30 years. Again, using the formula, we have
A = \(40000(1 + 0.028/1)^(1*30)\), which simplifies to
A =\(40000(1 + 0.028)^30\). Calculating this, we find that the future value is approximately $99,477.83.
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These two things are at the core of the balanced Scorecard. O Organizational culture and vision O Business performance and competitive advantage O Organizational vision and strategy
Answers
The two things at the core of the balanced Scorecard are business performance and competitive advantage. However, these two elements are not considered in isolation, but rather in the context of the organization's overall vision and strategy.
A balanced Scorecard approach involves a comprehensive assessment of an organization's performance across multiple dimensions, including financial, customer, internal processes, and learning and growth. By taking a balanced approach to performance measurement and management, organizations can ensure that they are not sacrificing long-term success for short-term gains, and are able to create a sustainable, balanced approach to success. Ultimately, the balanced Scorecard is a tool for aligning an organization's strategy with its overall vision and culture, in order to achieve optimal results. Thus, the two things at its core are business performance and competitive advantage.
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what would happened is banking didnt exist? i really have no idea
Answers
Answer:
we wouldn't have loans to buy a house or a car. We wouldn't have paper money to buy the things we need. We wouldn't have cash machines to roll out paper money on demand from our account
Explanation:
You open a new bank account at Eastside Savings. You see FDIC stickers around the bank, and the teller specifically mentions that Eastside
Savings is "FDIC Insured". A few months later, you hear on the radio that Eastside Savings is struggling to stay in business. Your savings balance
Is $500. What would happen to that money if Eastside Savings failed?
A.You could lose $250 since FDIC Insurance only covers 50% of the money you have deposited.
B.You would lose all of your money.
C.You would receive $250,000 since FDIC Insurance provides each account at the bank with $250,000 regardless of how much they
have deposited
D.You would receive all the money you have deposited at Eastside Savings since FDIC insurance covers accounts up to $250,000.
Answers
Answer:
The correct option is D. You would receive all the money you have deposited at Eastside Savings since FDIC insurance covers accounts up to $250,000.
Explanation:
Based on the information given what would happen to that money in a situation where Eastside Savings failed is that such individual would receive all the money he/she have deposited at Eastside Savings reason been that FDIC which is fully known as FEDERAL DEPOSIT INSURANCE CORPORATE insurance covers accounts up to the amount of $250,000 and Secondly Eastside Savings is "FDIC Insured".
which solution in a test tube would work best in extracting dna from cheek cells for analysis?
Answers
To extract DNA from cheek cells for analysis, a suitable solution would be a DNA extraction buffer.
DNA extraction buffers typically contain a combination of components that help break down the cell membranes and proteins, releasing the DNA from the cells. Some common components found in DNA extraction buffers include:
1. Saline solution: Provides the necessary ionic environment for DNA stability and solubility.
2. Detergents: Help to disrupt the cell membranes and release the DNA. Common detergents used include sodium dodecyl sulfate (SDS) or Triton X-100.
3. Protease: Enzymes that help break down proteins present in the cell, allowing for easier DNA extraction. Proteinase K is commonly used.
4. Buffering agents: Maintain a stable pH level, usually around neutral, to ensure optimal conditions for DNA extraction.
It's important to note that different DNA extraction kits or protocols may have specific buffer formulations tailored for the extraction process. Therefore, using a commercially available DNA extraction kit, which provides the necessary reagents and protocols, would be the most reliable and effective method for extracting DNA from cheek cells for analysis.
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