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    Exam 18: Securities Regulation
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    Securities Professionals, Such as Stock Brokers, May Be Fined by the SEC
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Securities Professionals, Such as Stock Brokers, May Be Fined by the SEC

Question 92

Question 92

True/False

Securities professionals, such as stock brokers, may be fined by the SEC for rule violations, but the Supreme Court has held that they cannot be barred from the industry because that is an unjust taking.

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