SIE Exam Question 822: Answer and Explanation

Question: 822

Which of the following is the maximum criminal fine for a non-natural person (such as an entity whose securities are publicly traded) who commits an insider trading violation?

• A. $5 million
• B. $10 million
• C. $25 million
• D. $50 million

Correct Answer: C

Explanation:

The maximum criminal fine for a non-natural person (such as an entity whose securities are publicly traded) who commits an insider trading violation is $25 million.