Challenge Your Exam Readiness With Our Free SIE Practice Questions

Question # 10

Which act requires mutual funds to disclose fees and investment objectives in a prospectus?

Options:

A.

Securities Act of 1933

B.

Securities Exchange Act of 1934

C.

Investment Company Act of 1940

D.

Sarbanes-Oxley Act of 2002

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SIE Overview

Name Securities Industry Essentials (SIE)
Code SIE
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

SIE Questions