Business, 20.08.2020 01:01 xcrysttallx

A registered person who is employed by a broker-dealer has committed an offense that makes the person subject to statutory disqualification. The firm is MOST likely to take which of the following actions? a. No longer permit the person to be associated with the member firm
b. Permit the person to be associated with the member firm, but require increased supervision
c. Permit the person to be associated with the member firm, but only in a non-registered capacity
d. Permit the person to be associated with the member firm provided FINRA is notified

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A registered person who is employed by a broker-dealer has committed an offense that makes the perso...