SIE (Securities Industry Essentials) Practice Exam

Disable ads (and more) with a membership for a one time $2.99 payment

Prepare for the SIE (Securities Industry Essentials) Exam by studying comprehensive materials, including interactive quizzes and flashcards that cover essential industry concepts. Maximize your scoring potential with targeted practice.

Practice this question and more.

What organization are all state securities Administrators part of?

SEC
FINRA
FDIC
NASAA

The correct answer is: NASAA

All state securities administrators are part of the North American Securities Administrators Association (NASAA). The other options, SEC, FINRA, and FDIC, are all federal organizations and do not include state administrators. The SEC is the Securities and Exchange Commission, FINRA is the Financial Industry Regulatory Authority, and FDIC is the Federal Deposit Insurance Corporation. While these organizations may interact with state securities administrators, they are not directly part of them. The NASAA serves as the voice of state securities agencies and works to protect investors and maintain the integrity of the securities industry.