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SIE Overview of the Regulatory Framework Practice Question 20

Question: 20

Which of the following is NOT mentioned in FINRA Rule 8310 Sanctions for Violation of the Rules?

Correct Answer: D

Explanation:

D: Choice D is correct because FINRA Rule 8310 does not mention FINRA imposing penalties for violating the Internal Revenue Code. Choices A, B, and C are incorrect because FINRA Rule 8310 mentions FINRA may impose penalties for violations of all of these.

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