Which of the following actions would constitute a violation of the Uniform Securities Act?

Which of the following actions would constitute a violation of the Uniform Securities Act?


Purchasing a convertible security and simultaneously selling short the underlying common stock for profit.

Purchasing a security on an exchange and simultaneously selling it on another exchange to improve trading volume.

Executing a trade for a customer at a price that is unrelated to the current market.

Executing a trade for a customer at the best available price without the customer's knowledge.



A) III and IV.

B) II, III and IV.

C) I, II, III and IV.

D) I and II.



Answer: II, III and IV.


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