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

Question # 60

If a firm employee knowingly assists a customer in structuring cash deposits to avoid reporting, this violates:

Options:

A.

Regulation SHO

B.

The Bank Secrecy Act (structuring rules)

C.

SEC Rule 15c3-3

D.

SIPC coverage requirements

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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