Series 14 – Compliance Officer Trading Practice Questions
The free Series 14 – Compliance Officer questions that deal with trading, with answers and explanations. The full bank and the timed practice test cover every topic the exam asks about.
Question #9
Which of the following is considered insider trading?
Correct answer: B
Explanation
Insider trading occurs when securities are bought or sold based on material nonpublic information.
Question #10
What should a compliance officer do if they identify a suspicious trading pattern?
Correct answer: C
Explanation
A compliance officer must file a SAR with the authorities when suspicious trading activity is identified.
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