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Question # 8

Which act regulates investment advisers and requires registration with the SEC or states?

Options:

A.

Securities Exchange Act of 1934

B.

Investment Advisers Act of 1940

C.

Investment Company Act of 1940

D.

Securities Act of 1933

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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