Browse SIE Exam Prep
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- 5.1.1 Securities Act of 1933
- 5.1.2 Securities Exchange Act of 1934
- 5.1.3 Investment Company Act of 1940
- 5.1.4 Investment Advisers Act of 1940
- 5.1.5 Securities Investor Protection Act (SIPA)
- 5.1.6 Insider Trading and Securities Fraud Enforcement Acts
- 5.1.7 Sarbanes-Oxley Act
- 5.1.8 Dodd-Frank Wall Street Reform and Consumer Protection Act
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5.2 Self-Regulatory Organizations (SROs)
In this section
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FINRA Rules and Bylaws: A Comprehensive Guide for the SIE Exam
Explore the intricate world of FINRA rules and bylaws, essential for mastering the SIE Exam. Understand FINRA's structure, authority, and key regulations that govern U.S. broker-dealers, ensuring market integrity and investor protection.
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MSRB Rules for Municipal Securities
Explore the comprehensive guide to MSRB rules governing municipal securities, including key regulations, the role of the MSRB, and its impact on the securities industry. Master the SIE Exam with in-depth insights into municipal securities regulation.
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Self-Regulatory Organizations (SROs) in the Securities Industry: Roles and Functions
Explore the roles and functions of key Self-Regulatory Organizations (SROs) in the securities industry, including the NFA, NYSE, NASDAQ, and CBOE. Understand their impact on market integrity and investor protection.
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