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Which of the following circumstances have securities regulators imposed restrictions and limitations upon which dealers and their registered Dealing Representatives? The office environment and dress
Which of the following circumstances have securities regulators imposed restrictions and limitations upon which dealers and their registered Dealing Representatives? The office environment and dress code of Dealing Representatives. Accepting the role of Power of Attorney who is an immediate family member. Arriving at a mutually agreed upon private settlement between the Dealing Representative and offended client. Personal financial dealings with immediate family members
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