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FINRA SIE Outline Exam Questions and Answers | 100% Pass
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FINRA SIE Outline Exam Questions and Answers | 100% Pass The Securities Act of 1933 - Answer️️ -The Securities Act of 1933 focused on greater transparency for investors After the stock market crash of 1929, it was passed into law to protect investors. Greater financial transparency and acc...

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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

FINRA SIE Outline Exam Questions and
Answers | 100% Pass
The Securities Act of 1933 - Answer✔️✔️-The Securities Act of 1933 focused on greater

transparency for investors



After the stock market crash of 1929, it was passed into law to protect investors.



Greater financial transparency and accuracy and less fraud or manipulation.



The legislation had two main goals: to ensure more transparency in financial statements

so investors could make informed decisions about investments; and to establish laws

against misrepresentation and fraudulent activities in the securities markets.

obligations to Your Firm - Answer✔️✔️-FORM UPDATES

OUTSIDE BUSINESS ACTIVITIES

BOOKS AND RECORDS

PROFESSIONAL DESIGNATIONS

Personal Securities Accounts and Investments Away From Your Firm

Securities Transactions Away From Your Firm

IPO's

CONFLICTS OF INTEREST


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

ADVERTISING REQUIREMENTS



http://www.finra.org/industry/manage-your-career/obligations

Forms U4 & U5 - Answer✔️✔️-You are responsible for ensuring that all updates to your

Form U4 are accurate, timely and provided to your firm. The FINRA By-Laws also

require firms to file a Form U5 within 30 days of your termination from the firm and to

provide you with a copy of the filing. In addition, if the firm learns of any facts or

circumstances that make the previously filed U5 inaccurate or incomplete, the firm is

required to amend the filing at that time and provide you with a copy.




http://www.finra.org/industry/manage-your-career/obligations

Outside Business Activities - Answer✔️✔️-During your association with a firm you may

not be an employee, independent contractor, sole proprietor, officer, director or partner

of another person as a result of any business activity outside the scope of the

relationship with your firm, unless you have provided prior written notice to your firm

pursuant to FINRA Rule 3270. Accordingly, you should discuss with your supervisor any

offer to work part-time or off-hours with any other business concern or receipt of any

form of compensation from a source other than your firm. Your firm must evaluate your

proposed outside business activities to determine whether to impose conditions, limit or


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,TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
even prohibit your proposed activity because such activity may interfere with your role at

the firm or be perceived by customers as part of the firm's business.



http://www.finra.org/industry/manage-your-career/obligations



http://finra.complinet.com/en/display/display_main.html?rbid=2403&record_id=16455



http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=12012

Books and Records - Answer✔️✔️-As a registered representative, your work-related

documents, such as correspondence with customers, new account forms and copies of

customer statements and customer complaints must be reviewed and retained by your

firm in specific ways according to FINRA Rule 4510 and other rules (e.g. FINRA rules

4511, 4512, 4513, 4514, and 4515). Regardless of the name on the incoming envelope,

these documents are also the property of the firm.




http://www.finra.org/industry/manage-your-career/obligations

Professional Designations - Answer✔️✔️-FINRA Rule 2210 prohibits brokerage firms and

brokers registered with FINRA from referencing legitimate degrees or designations in a

misleading manner or referencing non-existent or self-conferred degrees/designations.

FINRA's page on Understanding Professional Designations will help you learn more


3/31

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
about professional designations generally while FINRA's Senior Designations page will

help you learn more about designations relating to elderly investors.




http://www.finra.org/industry/manage-your-career/obligations



http://finra.complinet.com/en/display/display_main.html?rbid=2403&element_id=10648



http://www.finra.org/investors/professional-designations



http://www.finra.org/industry/2011-senior-designation-survey-results

Personal Securities Accounts and Investments Away From Your Firm - Answer✔️✔️-

FINRA Rule 3210 requires a registered representative to receive prior written consent

from the member firm with which they are registered (the employing member) before

opening any account, in which securities transactions can be effected and in which the

registered person has a beneficial interest, at any other member firm (the executing

member) or other financial institution. The registered representative must also notify in

writing the executing member, or other financial institution, of their association with the

employing member. In turn, the executing member is required, upon written request by

the employing member, to transmit duplicate copies of confirmations and statements to

the registered representative's employer for their account(s) including any account they


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