Question

Which of the following would least raise a red flag within a broker dealer of suspicious activity

Answer 1

To avoid raising red flags within a broker dealer, engaging in normal activities and following industry standards is crucial.

Step-by-step explanation:

Within a broker dealer, suspicious activity refers to any transactions or behaviors that are potentially illegal or violating regulations. To raise the least red flags, it is important to engage in activities that are considered normal and consistent with industry standards. For example, regular trading activities with well-established clients, transparent and accurate record keeping, and compliance with regulatory reporting requirements are less likely to raise suspicion.