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70.A client opened a new investment management account in January. She was pleased with her portfolio and returned later that year to purchase additional funds
70.A client opened a new investment management account in January. She was pleased with her portfolio and returned later that year to purchase additional funds with money she pulled from a home equity line of credit. When would the firm be required to provide a Leverage Risk Disclosure Statement? A. If the recommendation to purchase securities with borrowed funds was solicited by the firm. B. If they had not been provided with the disclosure statement within the previous six-month period. C. If the existing client did not receive the disclosure statement when they initially became a client. D. If the home equity line of credit is issued by the firm or by an affiliated company of the firm
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