All of the following would fall under "statutory disqualification" events under sec rules except? a) a person is barred from the securities business by the sec. b) a person has directly violated their broker-dealer’s policies and procedures. c) a person has been convicted of a felony in the last month. d) a person has been found to have made false statements in the filing of their u-4 registration form.

The best answer to the question: All of the following would fall under "Statutory Disqualification" events under SEC rules, EXCEPT:___, would be, B: A person has directly violated their broker-dealer´s policies and procedures.

Explanation:

The SEC, which is the Securities and Exchange Commission, is the entity in the United States that regulates all market exchanges, and the securities industry and activities of commerce. This entity was born as a result of the Securities and Exchange Act of 1934. In the guidelines set up by the Commission, there is a list of reasons as to why a person, or firm, would be considered for a "Statutory Disqualification" status, and all options in this question, A, C, and D are part of the list given by the Commission as reasons for receiving such a status. However, the one condition that is not set down under Section 3(a) (39) of the Exchange Act, is the one in option B. Therefore, it would be the only one that would fit the answer.

answer; deviation iq; //(a)

i am pretty sure it is d.