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Series 63 Uniform Securities Agent State Law Exam* (Series63) Practice Tests & Test Prep by Exam Edge - Related Blogs



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Series 63 Uniform Securities Agent State Law Exam - Blogs Sample Questions

 Manipulating market prices through unnecessary trading among agents is a violation. This is called:

Correct Answer:
matched purchases
**question**: manipulating market prices through unnecessary trading among agents is a violation. this is called:

**matched purchases**. manipulating market prices through unnecessary trading among agents is an ethical violation. in this kind of manipulation, agents and/or broker-dealers agree to buy and sell securities to each other at pre-arranged or similar prices. this artificial activity is designed to give the impression that there is a more active market for a security than there really is. the intent behind this is often to drive up the price of the security, making it appear more in demand or valuable than it truly is. this deceptive practice is known as making matched purchases.

it's important to differentiate matched purchases from legitimate trading practices. for instance, **front-running** involves a broker executing orders on a security for its own benefit before executing orders previously submitted by its customers, which can affect the price of the security to the detriment of the customer. **churning** refers to excessive trading by a broker in a client's account mainly to generate commissions. **arbitrage**, on the other hand, is a legally accepted strategy where a trader simultaneously buys and sells the same security in different markets to take advantage of differing prices for the same asset.

in the case of matched purchases, the collaborative nature of the trading creates a false sense of market activity, misleading investors about the true supply and demand for the security involved. this can lead investors to make poor decisions based on distorted market information. hence, matched purchases are considered a serious ethical and legal breach in many jurisdictions and are often subject to strict penalties and regulatory actions to protect market integrity and investor interests.

Additional Blogs for FINRA - Financial Industry Regulatory Authority dfgdfgdfg

In your journey to get Series 63 Uniform Securities Agent State Law Exam certified it is important for you to have all information related to your exam. So we have pulled together a list of additional blogs that may be of interest to you because that are all related to the Financial Industry Regulatory Authority.

Exam Edge Blogs for FINRA - Financial Industry Regulatory Authority