Cfe - Law Free Sample Questions

Greta is convicted of white-collar crime. However, her sentence is suspended in return for her promise of good behavior. Which of the following BEST describes Greta's sentence? A.Determinate sentenceB.ProbationC.Indeterminate sentenceD.Deferred prosecution agreement

Bob receives a memorandum from his attorney that is protected by a legal professional privilege. Bob emails the memorandum to a third party who has no need to know the information in the memorandum. Which of the following statements is MOST ACCURATE?

At the end of a civil proceeding, the court finds the defendant, a company, liable and orders it to pay a large sum of money to compensate for the plaintiff’s losses. Which of the following BEST describes this type of remedy? A.Declaratory reliefB.Equitable reliefC.DamagesD.Injunction

Which of the following is the MOST ACCURATE statement about rules prohibiting securities broker-dealers from making unsuitable recommendations on investments or investment strategies? A.A suitability violation occurs when a broker recommends an investment or investment strategy that is inconsistent with the client's objectives.B.A suitability violation occurs when a broker does not carry out a trade requested by or promised to a customer.C.A suitability violation occurs when a broker enters into transactions and manages a client's account for the purpose of generating excessive commissions.D.A suitability violation occurs when a broker trades in a client's account without obtaining prior approval for making the transaction(s).