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Topic 9 - Market misconduct and improper trading practices · Enforcement actions
Which factor must the guidelines the Commission publishes require it to weigh when it decides whether to fine a regulated person for misconduct?
A
Whether the conduct damaged the integrity of the securities and futures market
B
Whether the person has previously been privately reprimanded by the Commission
C
Whether the person can meet the penalty out of its required liquid capital
D
Whether the conduct was reported by a recognized exchange company or clearing house
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