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Series 6

Unit 3 QQ3.S Insider Trading and Securities Fraud Enforcement Act of 1988/ ITSFE

QuestionAnswer
Securities Investor Protection Corporaton (SIPC) a nonprof membership corp created by a cong act to protect clients of brok firms forced into bankruptcy.Membership is composed of all brokers and dealers registered under SEC,NSE &most FINRA.SIPC provides most brokerage customers 500k coverage/100k cash
Fidelity Bond Bong is to protect against employee loss or theft of customer securities. Min coverage $25k but most firms require additonal based on ops. Firm must review sufficiency of coverage 1/yr.
Written Supervisory Procedure Prohibits misuse of inside info. Establishes policies that restrict passing of non public info between firm departments.
Created by: ericjrolon