SIE Exam Question 604: Answer and Explanation

Question: 604

Which of the following elements of FINRA's Continuing Education Program focuses on compliance, ethical, and sales practice standards? Its content is derived from industry rules and regulations, and accepted standards and practices in the industry.

• A. Compliance Element
• B. Firm Element
• C. Regulatory Element
• D. Regulatory and Firm Elements

Correct Answer: C

Explanation:

The Regulatory Element of FINRA's Continuing Education Program focuses on compliance, ethical, and sales practice standards. Its content is derived from industry rules and regulations, and accepted standards and practices in the industry.