Series 7: Exercise

Exercise

Write whether the penalty is an individual penalty for insider trading firm penalty.

1. _____ A civil penalty of up to treble the benefit

2. _____ A civil penalty of up to treble the benefit or $1 million, whichever is greater

3. _____ A criminal fine of up to $25 million

4. _____ A criminal fine of up to $5 million

5. _____ A prison se