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SIE Exam Unit 10 – Issues Exam Questions and Answers | 100% Pass
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SIE Exam Unit 10 – Issues Exam Questions and Answers | 100% Pass The Uniform Practice Code (UPC) establishes uniform trade practices pertaining to all of the following except A) communications with the public. B) good-delivery procedures. C) don't know (DK) procedures. D) settlement and ex...

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  • September 25, 2024
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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

SIE Exam Unit 10 – Issues Exam
Questions and Answers | 100% Pass


The Uniform Practice Code (UPC) establishes uniform trade practices pertaining to all

of the following except




A) communications with the public.

B) good-delivery procedures.

C) don't know (DK) procedures.

D) settlement and ex-dates. - Answer✔️✔️-Communications With The Public

Established uniform trade practices and other guidelines for broker-dealers to follow

when they do business with other member firms, including transaction settlement, good

delivery, ex-dates, trade confirmations, and DK procedures - Answer✔️✔️-Uniform

Practice Code

While the Municipal Securities Rule Board (MSRB) writes the rules and regulations

regarding underwriting and trading for municipal securities, it does not enforce those

rules. Who does?



A) Securities and Exchange Commission (SEC)

B) New York Stock Exchange (NYSE)

1/9

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
C) Financial Industry Regulatory Authority (FINRA)

D) Options Clearing Corporation (OCC) - Answer✔️✔️-FINRA

The enforcement of the MSRB rules on broker-dealers has been primarily delegated to

who? - Answer✔️✔️-FINRA

Those who enforce the MSRB rules on banks who act as municipal dealers -

Answer✔️✔️-Bank Regulatory Agencies

The Federal Reserve Board is an example of what type of agency? - Answer✔️✔️-Bank

Regulatory

Which of the following is the largest self-regulating organization (SRO)?



A) MSRB

B) CBOE

C) FINRA

D) SEC - Answer✔️✔️-FINRA

All broker-dealers in the United States who deal in corporate securities are required to

be members of what? - Answer✔️✔️-FINRA

Has jurisdiction over all securities business in the United States, but it is not an SRO -

Answer✔️✔️-SEC

Accusations of Financial Industry Regulatory Authority (FINRA) Conduct Rule violations

will heard and handled under the


2/9

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