Among Close Relatives of the Covered Member,e

Multiple Choice

Among close relatives of the covered member,e.g.,brothers,sisters,mother,father,and cousins,when is ownership of the client's stock by them considered the same as ownership by the covered member?

A) When the relative holds a key financial position with the client.
B) When it is an immaterial financial interest in the client with covered member's knowledge.
C) When it is a material financial interest in the client without the covered member's knowledge.
D) In all of the above scenarios.