subject
Business, 15.06.2021 22:10 imeldachavez124

A customer opens an account at a member firm and gives the minimum amount of information necessary to open the account, refusing to answer several questions. The customer deposits multiple checks into the account over a period of a month, all of which are just below $5,000. Shortly thereafter, the customer liquidates the majority of the assets in the account with checks drawn over a period of several days, all of which are below $5,000. An Operations Professional or Registered Representative who notices this behavior should (A) file a Currency Transaction Report (CTR) immediately if the various transfers exceeded $10,000 and report the customer to FINRA's Whistleblower Department. (B) completely freeze the customer's account so that the customer cannot deposit, withdraw, or invest any assets. (C) file a Suspicious Activity Report (SAR), even though the amounts that are deposited or withdrawn never exceeded $5,000 in any one transaction. (D) personally take possession of the customer's assets into the firm's error account, since opening an account for this customer was clearly an error in judgement.

ansver
Answers: 3

Other questions on the subject: Business

image
Business, 22.06.2019 03:00, oliviaberta91
What is the relationship between marginal external cost, marginal social cost, and marginal private cost? a. marginal social cost equals marginal private cost plus marginal external cost. b. marginal private cost plus marginal social cost equals marginal external cost. c. marginal social cost plus marginal external cost equals marginal private cost. d. marginal external cost equals marginal private cost minus marginal social cost. marginal external cost a. is expressed in dollars, so it is not an opportunity cost b. is an opportunity cost borne by someone other than the producer c. is equal to two times the marginal private cost d. is a convenient economics concept that is not real
Answers: 3
image
Business, 22.06.2019 12:30, ash011519
On june 1, 2017, blossom company was started with an initial investment in the company of $22,360 cash. here are the assets, liabilities, and common stock of the company at june 30, 2017, and the revenues and expenses for the month of june, its first month of operations: cash $4,960 notes payable $12,720 accounts receivable 4,340 accounts payable 840 service revenue 7,860 supplies expense 1,100 supplies 2,300 maintenance and repairs expense 700 advertising expense 400 utilities expense 200 equipment 26,360 salaries and wages expense 1,760 common stock 22,360 in june, the company issued no additional stock but paid dividends of $1,660. prepare an income statement for the month of june.
Answers: 3
image
Business, 22.06.2019 16:30, piratesfc02
Suppose that electricity producers create a negative externality equal to $5 per unit. further suppose that the government imposes a $5 per-unit tax on the producers. what is the relationship between the after-tax equilibrium quantity and the socially optimal quantity of electricity to be produced?
Answers: 2
image
Business, 22.06.2019 19:40, jair512872
Lauer corporation uses the periodic inventory system and has provided the following information about one of its laptop computers: date transaction number of units cost per unit 1/1 beginning inventory 210 $ 910 5/5 purchase 310 $ 1,010 8/10 purchase 410 $ 1,110 10/15 purchase 255 $ 1,160 during the year, lauer sold 1,025 laptop computers. what was cost of goods sold using the lifo cost flow assumption?
Answers: 1
You know the right answer?
A customer opens an account at a member firm and gives the minimum amount of information necessary t...

Questions in other subjects:

Konu
Mathematics, 02.07.2019 08:00
Konu
Mathematics, 02.07.2019 08:00