New SIE Mock Test - Reliable SIE Exam Online, SIE Reliable Exam Blueprint - Cads-Group

  • Exam Number/Code : SIE
  • Exam Name : Securities Industry Essentials Exam (SIE)
  • Questions and Answers : 260 Q&As
  • Price: $ 99.00 $ 39.00
SIE

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NEW QUESTION: 1
A compliance officer is conducting a review of the automated transaction monitoring system. What would be most likely to result in a change in the monitoring system parameters?
A. The local paper runs stories that sully the institution's reputation in the marketplace
B. The national Financial intelligence Unit issues new risk indicators
C. The institution's creditworthiness thresholds change
D. Law enforcement issues a subpoena for a particular customer's account records
Answer: B

NEW QUESTION: 2

A. Option C
B. Option B
C. Option D
D. Option A
Answer: D

NEW QUESTION: 3
I am _______ about the job; although the atmosphere is pleasant, the work is boring.
A. laconic
B. reticent
C. ambivalent
D. timorous
E. exultant
Answer: C
Explanation:
Explanation/Reference:
Explanation:
A job that is both pleasant and boring is likely to arouse feelings that are mixed, or ambivalent.

 

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Feedbacks

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Eleanore - 2014-09-28 16:36:48
New SIE Mock Test - Reliable SIE Exam Online, SIE Reliable Exam Blueprint - Cads-Group


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