The Windmill Growth Fund has breakpoints at $10,000, $25,000, and $50,000. Your customer places an unsolicited purchase through you for $47,000. You place the trade as requested without question or comment. This action is

a rules violation

Explanation:

This action that is being undertaken by the representative in this scenario would be a rules violation. As a representative, you have the obligation to analyze a stock and a trade, and then advise your client of any pertinent information regarding the unsolicited trade that they want to make. Therefore, knowing that the unsolicited trade contains breakpoints and your client wants to make a very large purchase that surpasses those breakpoints then it is your obligation to advise them about these breakpoints. This was not done by the representative in this scenario.

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