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SIE Overview of the Regulatory Framework Practice Question 17

Question: 17

Which of the following is NOT required to have each partner, director, officer, and employee fingerprinted under SEC Rule 17f-2 – Fingerprinting of Securities Industry Personnel, unless an exemption applies?

Correct Answer: A

Explanation:

A: Choice A is correct because banks are not required to have their personnel fingerprinted under this rule. Choices B, C, and D are incorrect because all of these are included in the rule.

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