Professional Conduct & Regulation

Question 1

ALWAYS BAR CANDIDATE

Answer 1

• Felony conviction for theft, embezzlement, or other financially based crimes
• Felony conviction for tax fraud or other tax-related crimes
• Revocation of a financial professional license, unless administrative in nature
• Felony conviction for any degree of murder or rape
• Felony conviction for any other violent crime within the last 5 years

Question 2

PRESUMED TO BAR CANDIDATE

Answer 2

• Two or more personal or business bankruptcies
• Revocation or suspension of a nonfinancial professional license, unless administrative in nature
• Suspension of a financial professional license, unless administrative in nature
• Felony conviction for nonviolent crimes (including perjury) within the last 5 years
• Felony conviction for violent crimes other than murder or rape that occurred more than 5 years ago