Aregistered investment adviser and a broker-dealer are owned by the same parent company. the ria has received information from the b/d's research department that it is about to change it's rating of def corporation from neutral to negative. the ria sells its holding of def corporation and then has its iars call its list of clients to advise them that they may want to consider selling the security. the ria has engaged in: a. selling awayb. backing awayc. front runningd. shadowing
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Aregistered investment adviser and a broker-dealer are owned by the same parent company. the ria has...
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