SIE - Securities Industry Essentials Exam
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Which 2 SROs are designated as the examining authority for broker-dealers that clear the accounts of independent options market makers?
SEC & CBOE
A
SEC & FINRA
B
CBOE & FINRA
C
FINRA & NASDAQ
D
Explanations
The CBOE (Chicago Board Options Exchange) & FINRA are examining authorities for broker-dealers that are clearing firms for independent options market makers. The SEC is the Securities and Exchange Commission and the NASDAQ is an SRO (also an exchange).
Pricing
Basic
Part of the questions for each course
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- Course
- Questions
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- SIE
- 20 of 150
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- Series 6
- 30 of 500
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- Series 7
- 50 of 625