SIE (Securities Industry Essentials) Practice Exam 2025 - Free SIE Practice Questions and Study Guide

Question: 1 / 400

Which event results in a statutory disqualification?

A misdemeanor conviction unrelated to financial matters

A felony conviction for a driving under the influence (DUI) charge

A felony conviction for a driving under the influence (DUI) charge results in a statutory disqualification because it is considered a financial crime. Option A is incorrect because misdemeanor convictions unrelated to financial matters do not result in a statutory disqualification. Option C is incorrect because a temporary suspension from a non-financial profession does not necessarily result in a statutory disqualification. Option D is incorrect because while failing to disclose a personal bankruptcy may result in consequences, it does not necessarily result in a statutory disqualification.

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A temporary suspension from a non-financial profession

Failing to disclose a personal bankruptcy

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