Challenge Your Exam Readiness With Our Free Series 99 License Practice Questions

Question # 54

What is the primary purpose of SIPC?

Options:

A.

Guaranteeing profits on securities trades

B.

Protecting customer securities and cash in case of broker-dealer failure

C.

Regulating corporate issuers

D.

Enforcing anti-money laundering laws

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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)

Series 99 License Questions