All of the following practices are prohibited by the Uniform Securities Act EXCEPT:

All of the following practices are prohibited by the Uniform Securities Act EXCEPT:


borrowing money from a customer without the customer's written permission.

failing to determine the suitability of an investment for a customer.

offering rescission.

telling a customer that past history of an investment is not indicative of future results.


A) II and IV.

B) II and III.

C) III and IV.

D) I and II.



Answer: C) III and IV.


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