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5 Cards in this Set
- Front
- Back
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What is usually included in an engagement letter? |
Disclosures to identify any conflicts of interest. |
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If a research analyst is brought “over the wall”, he or she: |
Is restricted from performing any trading related to that issuer. |
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This activity results in a trade with a dark order at an improved price, following which orders are removed from the visible market. |
Quote Manipulation. |
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Compliance has identified trading activity which appears to violate firm policies and procedures. Who is responsible for addressing the improper trading? |
Head Trader. |
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What does the Order Protection Rule (OPR) require? |
Better-priced limit orders to be executed before inferior limit orders. |
