SIE - Securities Industry Essentials Exam
A customer just deposited $15,000 in cash at your broker-dealer to purchase securities this morning. What must be done?
File a SAR - Suspicious Activity ReportA
Immediately place a DT call on the accountB
Immediately place a REG T restriction on the accountC
File a CTR - Currency Transaction ReportD
For cash currency transactions exceeding 10K in one business day for one customer, a CTR must be filed.