NASAA's Statement of Policy on Dishonest or Unethical Business Practices of Broker-Dealers and Agents states that. It is unethical for an agent registered with a broker-dealer to: a. personally lend money to the broker-dealer firm with which the agent is registered.
b. personally lend money to a bank that is a client of the broker-dealer firm with which the agent is registered.
c. split commissions with an agent registered with a broker-dealer that is under common control.
d. borrow money from a mortgage broker who is a client of the agent.

According to the federal regulations, which of the following studies meets the definition of research with human subjects? a study of twenty 4th grade classrooms in which researchers ask the schools to systematically vary the time of day reading is taught, and collect weekly assessments of reading comprehension for each child over a three-month period.the collection of data, by a playground designer hired by the superintendent of schools, about the physical dimensions of school playgrounds, presence of fencing, and the kinds of equipment currently provided.a feasibility study for implementing a year-round school program, focusing on economic issues such a facilities utilization and transportation costs.an analysis of aggregate data comparing statewide high school graduation rates provided by the state department of public instruction, using county tax information.