Explore the vital role of Self-Regulatory Organizations (SROs) in the securities industry, including FINRA, MSRB, and exchanges like NYSE and NASDAQ. Learn about their functions, responsibilities, and interaction with the SEC.
Explore the regulatory framework, permitted arrangements, and compliance responsibilities associated with borrowing from or lending to customers in the securities industry. Understand the risks, firm responsibilities, and consequences of non-compliance under FINRA Rule 3240.
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.
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.
Explore the detailed process of Associated Person Registration, including the definition, registration requirements, exams, and compliance obligations. Essential for SIE Exam preparation.
Explore the intricacies of Outside Business Activities (OBA) in the securities industry, including regulatory frameworks, notification requirements, and best practices for compliance.
Master the SIE Exam by understanding the intricacies of complaint handling and reporting requirements, including FINRA rules, regulatory frameworks, and best practices for compliance.
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.
Explore the essential securities laws and regulations that shape the U.S. financial markets, including the Securities Act of 1933, the Securities Exchange Act of 1934, and more. Understand their historical context, key provisions, and impact on the industry.