1. Home
  2. SIE Exam
  3. SIE Practice Tests

SIE Exam Practice Question 83

Question: 83

Registered Investment Advisers are registered through the ___________.

Correct Answer: D

Explanation:

Investment firms and advisers are required to register with the SEC, FINRA, and the office of the securities regulator of the state in which they are doing business. Firms and advisors can register for all three using SEC Form BD.

More Tests

All content of site and practice tests © 2022 Jack.
Quick View
FINRA Practice Tests