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Question # 26

Which of the following best describes the role of the OCC (Options Clearing Corporation)?

Options:

A.

Enforces SEC rules for broker-dealers

B.

Guarantees performance of listed options contracts

C.

Oversees margin requirements for securities trading

D.

Issues prospectuses for IPOs

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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