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Question # 37

A customer requests to hold mail while traveling overseas for 3 months. What is required?

Options:

A.

Firm may hold mail indefinitely with customer consent

B.

Firm may hold mail for up to 3 months with written instructions

C.

Firm may hold mail for up to 1 year with approval

D.

Mail cannot be held under any circumstances

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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