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Question # 43

Which law requires firms to file Suspicious Activity Reports (SARs)?

Options:

A.

Securities Exchange Act of 1934

B.

Bank Secrecy Act

C.

Investment Company Act of 1940

D.

Trust Indenture Act of 1939

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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