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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5.6 Recordkeeping and Reporting Requirements
In this section
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Books and Records Maintenance: Essential Guide for SIE Exam Success
Master the essentials of books and records maintenance for the SIE Exam. Learn about SEC Rules 17a-3 and 17a-4, record types, retention periods, electronic storage, and compliance consequences.
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Regulatory Filings and Notifications: Essential Knowledge for the SIE Exam
Master the essentials of regulatory filings and notifications for the SIE Exam. Understand FOCUS Reports, net capital requirements, customer complaint reporting, and more.
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Business Continuity Plans (BCP) for Securities Firms: Ensuring Resilience and Compliance
Explore the essential components and regulatory requirements of Business Continuity Plans (BCP) for securities firms, including FINRA Rule 4370, to ensure operational resilience and compliance during disruptions.
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Cybersecurity and Data Protection: Safeguarding the Securities Industry
Explore the critical role of cybersecurity and data protection in the securities industry, including regulatory requirements, best practices, and the consequences of inadequate measures.
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