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Which of the following is not a statutory disqualifying event that would ban an individual from ever working in the securities industry? A. A misdemeanor
Which of the following is not a statutory disqualifying event that would ban an individual from ever working in the securities industry?
A. A misdemeanor conviction related to the securities industry within the past ten years. | |
B. Association with a person known to have been suspended by another broker-dealer | |
C. Failure to supervise an employee who violated securities law | |
D. A bankruptcy filing in the last seven years |
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