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SIE Exam (Lesson 13: FINRA Registration) Study Guide with Complete Solutions
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SIE Exam (Lesson 13: FINRA Registration) Study Guide with Complete Solutions SEC ️️ Correct- Government agency whose primary mission is to matin the integrity of the US markets and protect investors (more big picture) SEC Empowers __________ with certain enforcement responsibilities withi...

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  • September 25, 2024
  • 14
  • 2024/2025
  • Exam (elaborations)
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  • sie exam lesson 13 finra registration study gui

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

SIE Exam (Lesson 13: FINRA
Registration) Study Guide with Complete
Solutions


SEC


✔️✔️Correct- Government agency whose primary mission is to matin the integrity of the

US markets and protect investors (more big picture)

SEC Empowers __________ with certain enforcement responsibilities within the

securities industry

✔️✔️Correct Self-regulatory organizations

- FINRA (SRO) --> regulates broker-dealers and registered reps

- MSRB (SRO) --> regulates municipal securities market, but not those from municipal

issuers

- SEC must approve of FINRA & MSRB

RR Registration Process

✔️✔️Correct 1. Take SIE-- passing doesn't qualify individual to conduct securities

business (to be RR)

- SIE credential is valid for 4 years

2. Form U4: To associate with firm, you need to complete and submit U4 form to FINRA


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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
- Details personal disclosure (FERBCP)

Fingerprints

Employment history

Residential history

Bankruptcies

Criminal background

Pre-dispute arbitration agreement

3. Series exams (+SIE if needed) (IGI)

Series 6 Investment co. 7 variable rep

Series 7: General securites rep

Series 79: Investment banking rep

4. Form U5: Upon terminating/ leaving firm, a form U5 is completed

Arbitratoin

- A means of settling financial disputes outside of the court system

- All RRs must sign a pre-dispute arbitration agreement as part of their Form U4

Pre-dispute arbitration agreement

requires future dispute between firm and rep to be settled outside of the court, rather

than in court (could be a

financial disagreement)

True or false: Arbitration

a. Disputes relating to harassment and discrimination can be heard in court



2/14

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