SIE - Securities Industry Essentials Exam

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After termination of employment with a broker-dealer, the broker dealer must maintain processed fingerprint cards for the terminated employee for what period of time?

No less than 1 year
A
No less than 2 years
B
No less than 3 years
C
No less than 5 years
D

Explanations

The fingerprint cards must be kept for a period of no less than 3 years.

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