Free SIE Practice Test Questions | Securities Industry Essentials (SIE)

Question # 13

Which rule prohibits manipulation by creating false or misleading appearances of trading activity?

Options:

Regulation D

Regulation SHO

SEC Rule 10b-5

FINRA Rule 2020

Viewing question 13 out of 72 questions

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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)

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