SIE Exam Practice Question 736

Question: 736

Which of the following is the maximum civil penalty that can be imposed upon an individual who commits an insider trading violation?

A. The civil penalty may be an amount up to two times the profit gained or the loss avoided as a result of the insider trading violation.

B. The civil penalty may be an amount up to three times the profit gained or the loss avoided as a result of the insider trading violation.

C. The civil penalty may be an amount up to $50,000.

D. The civil penalty may be an amount up to $100,000.