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Which of the following conduct may lead to SEC investigations? A . all of these may lead to an SEC investigation B. stealing customers funds
Which of the following conduct may lead to SEC investigations?
A . all of these may lead to an SEC investigation
B. stealing customers funds or securities C.insider trading
D. violating broker-dealers' responsibility to treat customers fairly
E.manipulating the market prices of securities
F. misrepresentation or omission of important information about securities
G. none of these may lead to an SEC
investigation
H. selling unregistered securitiee
unregistered securities
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