Isn’t any felony in the past 10 years considered an answer as well?
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This is a tricky question, but it is right. Only convictions or guilty pleas matter, not charges. FINRA takes the “innocent until proven guilty” path thankfully. Of course, the charge would have to be reported on the U-4, but would not be a statutory disqualification (preventing the applicant from becoming licensed).
I hope this helps!
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it does help a lot thank you!
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