ShmoopTube
Where Monty Python meets your 10th grade teacher.
Search Thousands of Shmoop Videos
Ethics/Morals Videos 193 videos
Selling away is the practice of selling securities that aren't under the seller's auspices to sell.
Maturity is, quite simply, the date when a debt becomes due. As for our maturity, well... we're still giggling about the word "due."
How are risk and reward related? Take more risk, expect more reward. A lottery ticket might be worth a billion dollars, but if the odds are one in...
Finance: What is Hiding Written Complaints? 2 Views
Share It!
Description:
The act of hiding written complaints is...no bueno. An investment rep is legally obligated to pass on any such complaints to their employer.
- Social Studies / Finance
- Finance / Financial Responsibility
- College and Career / Personal Finance
- Life Skills / Personal Finance
- Finance / Finance Definitions
- Life Skills / Finance Definitions
- Finance / Personal Finance
- Courses / Finance Concepts
- Subjects / Finance and Economics
- Finance and Economics / Terms and Concepts
- Terms and Concepts / Accounting
- Terms and Concepts / Banking
- Terms and Concepts / Careers
- Terms and Concepts / Company Management
- Terms and Concepts / Education
- Terms and Concepts / Ethics/Morals
- Terms and Concepts / Metrics
- Terms and Concepts / Mutual Funds
- Terms and Concepts / Tax
- Terms and Concepts / Trusts and Estates
Transcript
- 00:00
Finance a la shmoop what is hiding written complaints? all right remember
- 00:07
when you were a kid and your teacher sent home a note to your parents and not [Teacher gives boy a note]
- 00:12
a good one you knew you were in big-time trouble so you know why not just hide
- 00:17
the note what your parents don't see can't hurt you right? while hiding
- 00:21
written complaints on Wall Street is kind of like that if an investment rep
Full Transcript
- 00:25
receives a written complaint from a client they are legally obligated to
- 00:30
pass it along to their employer and their boss who has to add it to the reps
- 00:36
[Submarine appears] U4 which is not a military submarine but a form that the rep has to
- 00:40
use when registering with the stay you know for their license hiding written
- 00:45
complaints is illegal and can get the rep in deep you know what and like in
- 00:50
the real world it gets a lot worse than being grounded and you know having your [Person picks up Xbox console]
- 00:54
xbox taken away for a week yeah good luck with that
Related Videos
GED Social Studies 1.1 Civics and Government
What is bankruptcy? Deadbeats who can't pay their bills declare bankruptcy. Either they borrowed too much money, or the business fell apart. They t...
What's a dividend? At will, the board of directors can pay a dividend on common stock. Usually, that payout is some percentage less than 100 of ear...
How are risk and reward related? Take more risk, expect more reward. A lottery ticket might be worth a billion dollars, but if the odds are one in...