SIE - Securities Industry Essentials Exam
Which of the following events make a person definitely subject to a statutory disqualification Section 3(a)(39) of the Securities Exchange Act of 1934?
( Having been convicted of a felony within the preceding 10 years, Having been suspended by the SEC or the CFTC & Having been convicted of a burglary misdemeanor within the preceding 10 years ) are all definite statutory disqualifying events. ( Having been convicted of a disorderly conduct charge 4 years ago ) most likely will not result in statutory disqualification; but the possibility exists. Note that the question asks for "definitely subject". Many non-financial related misdemeanor convictions do not result in statutory disqualification; but it varies.