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Free SIE Practice Exams
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Free SIE Practice Exam 1 (75 Questions) with Answers Quiz
1.
A firm detects a transaction of at least $5000 that appears designed to disguise illegally obtained funds. The firm must
1
File a Suspicious Activity Report with FinCEN within 30 days and keep the filing confidential
Contact the SEC enforcement division by telephone the same day
Notify the customer that a regulatory report is being filed
Immediately freeze the account and cancel all open orders
