Unit 3 QQ3.S Insider Trading and Securities Fraud Enforcement Act of 1988/ ITSFE
Quiz yourself by thinking what should be in
each of the black spaces below before clicking
on it to display the answer.
Help!
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| 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
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| 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.
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| Written Supervisory Procedure | Prohibits misuse of inside info. Establishes policies that restrict passing of non public info between firm departments.
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