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When considering hiring an individual as an associated person, a broker - dealer must conduct a background check: A Under no circumstances B Only if
When considering hiring an individual as an associated person, a broker
dealer must conduct a background check:
A
Under no circumstances
B
Only if the individual is seeking registration as a registered representative
Only if the individual is seeking registration as a principal
On any individual regardless of whether she's seeking registration as a registered representative or as a principal
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