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

Question # 9

An employee learns that a client’s suspicious activity report (SAR) was leaked to the subject of the report. This constitutes a violation because:

Options:

A.

SARs must be destroyed immediately after filing

B.

SARs are confidential and disclosure is prohibited

C.

Firms may disclose SARs if customers request it

D.

SARs only apply to banks, not broker-dealers

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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