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Which customer transaction with a securities dealer wou…

Which customer transaction with a securities dealer would indicate the highest suspicion of money laundering?

PrepAway - Latest Free Exam Questions & Answers

A.
Frequent trades in unlisted securities throughout the day on a regular basis

B.
Recurring transfers of money into a brokerage account subsequently invested in short-term securities

C.
A high level of account activity with very low levels of securities transactions

D.
Investment in securities with a significantly lower risk than the customer’s expressed risk tolerance


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