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QA. Assume the following hypothetical scenario: You are the compliance supervisor for a securities firm and you have noticed several suspicious transactions lately. For example, there have been issues in customers’ accounts with securities that appear thinly traded and transactions in unusually large blocks. You are aware of the registration requirements for securities and also the restrictions concerning unregistered securities.
1. Per your knowledge of the United States securities laws, prepare a memorandum that can be used by sales and supervisory staff to detect sales in unregistered securities.
2. In the memorandum, clearly explain the requirements surrounding sales of unregistered securities.  
3. Additionally, discuss at least 2 red flags regarding customers’ transactions.  
4. Additionally, be sure to include what type of guidelines would be followed to properly sell unregistered securities, as well as what type of inquiry should be made regarding customer activity to ensure compliance with Rule 144.
 
QB 1. For replies: Follow-up on your initial post and describe how you might have advised a compliance supervisor on how to detect improper sales of unregistered securities.
2. Discuss compliance requirements, including how they relate to the inquiry obligations pursuant to Rule 144.
3.Your reply should discuss at least 4 different inquiries regarding customer activity and 4 different supervisory procedures and/or controls that may have detected sale of unregistered securities.
4. Replies should be provided in a narrative format to the compliance officer and total at least 4 paragraphs.

Note: The question must be answered in relation to the Financial-securities Laws of the United States of America.
All the necessary laws and regulations that pertaining to it must be cited.
The question must be answered according to the numbers that is; 1, 2, 3& 4 in QA and 1, 2, 3 & 4 in QB. That is, the answers must be numbered.
The Citations must be in Bluebook format.
Good grammar and composition


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Tellus molestie nunc non blandit massa enim nec dui. Tellus molestie nunc non blandit massa enim nec dui. Ac tortor vitae purus faucibus ornare suspendisse sed nisi. Pharetra et ultrices neque ornare aenean euismod. Pretium viverra suspendisse potenti nullam ac tortor vitae. Morbi quis commodo odio aenean sed. At consectetur lorem donec massa sapien faucibus et. Nisi quis eleifend quam adipiscing vitae proin sagittis nisl rhoncus. Duis at tellus at urna condimentum mattis pellentesque. Vivamus at augue eget arcu dictum varius duis at. Justo donec enim diam vulputate ut. Blandit libero volutpat sed cras ornare arcu. Ac felis donec et odio pellentesque diam volutpat commodo. Convallis a cras semper auctor neque. Tempus iaculis urna id volutpat lacus. Tortor consequat id porta nibh.

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Tellus molestie nunc non blandit massa enim nec dui. Tellus molestie nunc non blandit massa enim nec dui. Ac tortor vitae purus faucibus ornare suspendisse sed nisi. Pharetra et ultrices neque ornare aenean euismod. Pretium viverra suspendisse potenti nullam ac tortor vitae. Morbi quis commodo odio aenean sed. At consectetur lorem donec massa sapien faucibus et. Nisi quis eleifend quam adipiscing vitae proin sagittis nisl rhoncus. Duis at tellus at urna condimentum mattis pellentesque. Vivamus at augue eget arcu dictum varius duis at. Justo donec enim diam vulputate ut. Blandit libero volutpat sed cras ornare arcu. Ac felis donec et odio pellentesque diam volutpat commodo. Convallis a cras semper auctor neque. Tempus iaculis urna id volutpat lacus. Tortor consequat id porta nibh.

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