SIE - Securities Industry Essentials Exam
Training Mode
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
A
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, Having been convicted of a disorderly conduct charge 4 years ago
B
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 disorderly conduct charge 4 years ago
C
Having been convicted of a felony within the preceding 10 years
D