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

Question # 30

Which of the following entities enforces the USA PATRIOT Act provisions for broker-dealers?

Options:

SEC

FINRA

FinCEN

OCC

Viewing question 30 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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