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SIE- FINRA Exam Study Guide with Complete Solutions
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SIE- FINRA Exam Study Guide with Complete Solutions FINRA - Answer️️ -Financial Industry Regulatory Authority. product of NYSE and NASD merging. Formed in mid 2007 REGISTERED REPRESENTATIVE - Answer️️ -any person who accepts or solicits orders to buy or sell. any individual that make...

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  • September 25, 2024
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  • 2024/2025
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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

SIE- FINRA Exam Study Guide with
Complete Solutions
FINRA - Answer✔️✔️-Financial Industry Regulatory Authority. product of NYSE and

NASD merging.

Formed in mid 2007

REGISTERED REPRESENTATIVE - Answer✔️✔️-any person who accepts or solicits

orders to buy or sell.

any individual that makes a recommendation to a customer or who performs a suitability

determination for a customer.

who must be registered - Answer✔️✔️-sales personnel

operating officers of the broker-dealer

securities traders

client-facing back office personnel.

U4 form - Answer✔️✔️-Must be filed to register with any SRO and be filed with the

Central Registration Depository.



Disqualified from U4 if any of these apply to you:



1. False reports.

2. Bribery

1/5

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
3. Perjury

4. ANY other felony. Banned for 10 years and needs waiver to be hired



All this info is entered into the Central Registration Depository (CRD) database run by

FINRA.

continuing education requirements - Answer✔️✔️-training session reviewing regulations

be completed on 2nd anniversary of registration and every 3 year thereafter. If

incomplete, license is inactive without pay.

Annual training needed.

Annual compliance review must be attended by all registered persons.

broker check website - Answer✔️✔️-P rovides info on broker's employment history

brokers licenses

broker's complaint and disciplinary record

Broker's outside business activities

options transaction costs - Answer✔️✔️-are significantly higher than for other

investments. costs associated can significantly reduce or eliminate gain on an options

contract, sometime even a loss.

if member firm is publicly traded, cannot recommend - Answer✔️✔️-representative

cannot solicit order to buy that member firm's stock. however unsolicited customer

orders may be taken.



2/5

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