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American Bankers Association Exam CRCM Topic 5 Question 50 Discussion

Actual exam question for American Bankers Association's Certified Regulatory Compliance Manager exam
Question #: 50
Topic #: 5
[All Certified Regulatory Compliance Manager Questions]

When is it permissible for a bank that is a government securities broker or dealer to refrain from filing a Form G-FIN-5 or a Form MSD-5 when an employee terminates the associated person status?

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Suggested Answer: D

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