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SIE Exam Rules Study Guide with Complete Solutions
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SIE Exam Rules Study Guide with Complete Solutions Rule 147 - Answer️️ -SEC rule that provides exemption from the registration statement and prospectus requirements of the 1933 Act for securities offered and sold exclusively intrastate. Regulation D - Answer️️ -SEC rules concerning PRI...

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  • September 25, 2024
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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 Rules Study Guide with
Complete Solutions


Rule 147 - Answer✔️✔️-SEC rule that provides exemption from the registration statement

and prospectus requirements of the 1933 Act for securities offered and sold exclusively

intrastate.


Regulation D - Answer✔️✔️-SEC rules concerning PRIVATE PLACEMENTS and defining

related concepts such as ACCREDITED INVESTOR. You can sell to only up to 35 non-

accredited investors.

Rule 144 - Answer✔️✔️-A regulation that provides for the sale of restricted stock and

control stock. Filing with the SEC is required prior to selling restricted and control stock.

The number of shares that may be sold is limited. You must hold restricted stock for

6months/1year or at least until the company goes public.

Rule 144A - Answer✔️✔️-An exemption to the holding period and volume restrictions of

Rule 144 for qualified institutional buyers (QIBs).

Rule 145 - Answer✔️✔️-A regulation covering mergers and acquisitions that also

exempts stock splits and stock dividends from the registration requirements of the

Securities Act of 1933. Other reclassifications must be registered with the SEC.




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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
Securities Act of 1934 - Answer✔️✔️-A law governing the secondary trading of securities

in the US; established the SEC (Securities and Exchange Commission). Requires

companies to issue 10Ks and 10Qs.

FINRA Rule 2120 - Answer✔️✔️-Broker/dealers must charge fair buy/sells prices and

charge fair commissions.

SEC Rule 15c2-12 - Answer✔️✔️-Current information about municipal issuers and

securities must be available.

FINRA Rule 2090 - Answer✔️✔️-Know your customer when they open their account

MSRB Rule G-47 - Answer✔️✔️-

Securities Act of 1933 - Answer✔️✔️-The first major federal law regulating the securities

industry. It requires firms issuing new stock in a public offering to file a registration

statement with the SEC. (Prospectus)

FINRA Rule 5130 - Answer✔️✔️-Underwriters must make bona fide offerings - they

cannot sell to restricted persons and their immediate family members. In addition, they

must execute transactions at prices that are favorable under the prevailing market

conditions.

MSRB G-11 - Answer✔️✔️-Syndicate must establish priority for allocating orders.

Presale, Group, Designated, Members.

MSRB Rule G-32 - Answer✔️✔️-Information must be provided no later than settlement

date when buying new municipal security.


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