FINRA SIE Q&A - in .pdf

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  • Exam Code: SIE
  • Exam Name: Securities Industry Essentials Exam (SIE)
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NEW QUESTION: 1
DRAG DROP


Answer:
Explanation:

Box1
Box2
all mail-enabled groups in Exchange are referred to as distribution groups, regardless of security context.
References: https://technet.microsoft.com/en-us/library/bb124513(v=exchg.150).aspx

NEW QUESTION: 2

A. real-lime protection
B. advanced
C. default actions
D. threat overrides
Answer: B

NEW QUESTION: 3
When an institution files an STR with regard to a particular account, what steps should the institution take visa account?
A. The institution should not close the account due to the risk of tipping off the customer andupsetting the criminal investigation
B. The institution should keep the account open due to the need to continue to monitor theaccount
C. The institution should consult its counsel and AML compliance officer and determine whetherclosing the account is in accord with the institution's procedures
D. The institution should close the account due to the obvious risk it represents
Answer: C

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