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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 55 Topic 6 Discussion

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FINRA Securities Industry Essentials Exam (SIE) SIE Question # 55 Topic 6 Discussion

SIE Exam Topic 6 Question 55 Discussion:
Question #: 55
Topic #: 6

Which of the following agencies publishes the list used by broker-dealers to verify that customers are not known money launderers, terrorists or others deemed ineligible to open an account at a financial institution?
A.

The SEC

B.

The IRS

C.

The FBI

D.

The Office of Foreign Assets Control (OFAC)

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Actual exam question for FINRA SIE exam by Rael2039 at Mar 29, 2026, 8:46:17 AM

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