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SIE Overview of the Regulatory Framework Practice Question 21

Question: 21

Which of the following may FINRA impose as a penalty named in Rule 8310 Sanctions for Violation of the Rules?

Correct Answer: D

Explanation:

D: Choice D is correct because FINRA Rule 8310 allows any other appropriate penalty to be imposed. Choices A, B, and C are incorrect because they are not named in FINRA Rule 8310.

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