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If a Bank Is a Government Securities Broker or Dealer

Question 400

Multiple Choice

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?


A) Retain the form for 10 years
B) Verify the accuracy of all information on the form
C) Verify the accuracy of the information by inquiring of all employers of the employee for the previous three years
D) Verify the accuracy of the information by inquiring of all employers of the employee for the previous five years

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