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NO.1 The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider
trading can
be subject to which of the following penalties?
A. up to 5 years in prison and a fine of $1,500,000 or both
B. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
C. up to 3 years in prison, a $5,000 fine, or both
D. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
Answer: D

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Explanation: The 1988 Insider Trading and Securities Enforcement Act increased the penalties for a
person convicted of insider trading to up to 10 years in prison and a fine of $1 million or up to 3 times
the
amount of profits gained, or losses avoided.

NO.2 Moe is a registered investment adviser doing business under the name of MoeMoney
Investment
Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of
directors;
Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs
clerical
duties. Given that Moe is already a registered investment adviser, which of the other three are
automatically registered as investment adviser representatives?
A. Mary and Curly only
B. Larry, Mary and Curly
C. Larry only
D. Larry and Mary only
Answer: C

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Explanation: As a director of the firm, Larry would automatically be registered as an investment
adviser
representative of MoeMoney Investment Advisers. Although directors and officers of the firm are
automatically registered as investment adviser representatives, Mary, as a sales representative,
would
have to apply for her own registration. Curly does not need to be registered since he performs only
clerical
duties.

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