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American Bankers Association Exam CRCM Topic 7 Question 51 Discussion

Actual exam question for American Bankers Association's Certified Regulatory Compliance Manager exam
Question #: 51
Topic #: 7
[All Certified Regulatory Compliance Manager Questions]

If a bank is a government securities broker or dealer, what are its responsibilities when it obtains a Form G-FIN-4 or an MSD-4 from an employee?

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Suggested Answer: C


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