Rule E-35 keeps brokers in compliance with the landmark decision of Conway-Bogue.

Which of the following pricing objectives does an organization adopt when it sets the price of its

products generally low with the view to control as great a portion of the market as possible? A) product-quality leadership pricing objective B) market share maximization pricing objective C) profit maximization pricing objective D) market skimming pricing objective

In which of the following cases might an investor receive help from The Securities Investor Protection Corporation?

A) The investor purchased a stock at $40 per share because his broker recommended it. Over the next six months, it fell to $20 per share. B) The investor purchases stock in a company that shortly later was forced into bankruptcy because of accounting fraud. C) The investor holds $100,000 worth of stock in certificate form. The certificates are destroyed in a fire. D) A broker took money sent by investors to cover stock purchases, but never invested it and sent falsified statements to cover the fraud.