Series 24 Practice Questions - General Securities Principal Qualification Exam

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Which of the following would constitute a statutory disqualification under Section 3(a)(39) of the Securities Exchange Act of 1934?

Failing the Series 7 exam twice A felony conviction for securities fraud within the past 10 years Having less than one year of industry experience Moving to a different state without updating the CRD

Correct Answer:

A felony conviction for securities fraud within the past 10 years

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