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Social Studies, 30.10.2019 02:31 priscymtz27

All of the following would fall under "statutory disqualification" events under sec rules except? a) a person is barred from the securities business by the sec. b) a person has directly violated their broker-dealer’s policies and procedures. c) a person has been convicted of a felony in the last month. d) a person has been found to have made false statements in the filing of their u-4 registration form.

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