Business, 29.06.2019 04:10 karebareyo

While attending an investment symposium, an investment adviser representative overhears a phone conversation of the keynote speaker. the conversation centers on regulatory problems of a publicly traded company. the representative knows the information is not public. which of the following actions by the representative would be acceptable? i. the representative informs the compliance officer of his firm about the conversation. ii. the representative may ask the speaker about the company during a question-and-answer period and then inform his clients. iii. the representative may include his thoughts about the company within his personal blog. iv. the representative may not enter trades for his own account based on the information, but may accept unsolicited trades by his clients. a. i and ii only b. i and iv only c. ii and iii only d. all of the above

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