Free Series 99 License Practice Test Questions

Question # 51

Which of the following agencies regulates mutual funds?

Options:

SEC under the Investment Company Act of 1940

FINRA under the 1933 Act

OCC under banking rules

SIPC under SIPA

Viewing question 51 out of 75 questions

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Series 99 License Overview

Name	Series 99 License
Code	Series 99 License
Vendor	Finance, Insurance and Real Est
Certification	Financial Industry Regulatory Authority (FINRA)

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