SIE Mastery Exam Questions With Complete Solutions

SIE Mastery Exam Questions With Complete Solutions You notice a new customer, Malcom Wren, has a pattern of buying and selling stocks with holding periods of just a day or two. He seems unconcerned with losses. Additionally, between trades, he wires the money to and from a number of offshore accounts. After informing your supervisor, the most likely action for your company is to a) file a CTR with FinCEN b) inform the customer about the irregular activity in the account c) file a SAR with FinCEN d) inform the SEC ️️c) file a SAR with FinCEN (Currency Transaction Report vs Suspicious Activity Report) All of the following statements about a bond selling above par value are true except... a) the yield to maturity is lower than the nominal yield b) the nominal yield always stays the same c) the nominal yield is Lower then the current yield d) the current yield is higher than the yield to maturity ️️c) the nominal yield is lower than the current yield