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Intermediate
A broker-dealer terminates an agent after discovering customer-signature falsification. The agent asks the firm to mark the termination as voluntary because no customer lost money. What is the best regulatory response?
The firm must provide accurate termination information and cannot sanitize the reason to help the agent.
The firm may mark voluntary if restitution is unnecessary.
The issue is private employment law only.
The agent can choose the disclosure wording because it is her Form U4.
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