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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5.5 Customer Protection and Ethical Practices
In this section
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Regulation Best Interest (Reg BI) - A Comprehensive Guide
Explore Regulation Best Interest (Reg BI), a pivotal SEC regulation impacting broker-dealers. Learn about its obligations, Form CRS, and its implications for retail customers.
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Suitability and Know Your Customer (KYC) in Securities
Explore the critical principles of Suitability and Know Your Customer (KYC) in the securities industry, focusing on FINRA Rules 2111 and 2090, to ensure ethical practices and customer protection.
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Fiduciary Duty and Best Execution in Securities Industry
Explore the critical concepts of Fiduciary Duty and Best Execution in the securities industry, essential for understanding ethical practices and regulatory compliance in financial services.
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Senior Investor Protections
Explore comprehensive strategies and regulatory frameworks designed to protect senior investors from financial exploitation, including FINRA rules, trusted contact persons, and best practices for communication and education.
