SIE Study Guide 4.2 – Reportable Events and Employee Conduct

SIE Study Guide 4.2

SIE Study Guide Navigation In this section of the study guide, we specifically look at reportable events as well as employee conduct. Within the regulatory framework that governs registered representatives and firms such as broker-dealers that work in the securities industry, there are a host of reportable events to take note of. Let’s look at … Read more

SIE Study Guide 4.1 – Associated Persons SRO Regulatory Requirements

SIE Study Guide 4.1

SIE Study Guide Navigation To start, let’s look at two critical aspects of the regulatory requirements. They deal with registration and continuing education. Those who want to apply for membership as an associated person must start by filling out a Form U-4. This provides a history of each applicant in terms of their employment, any … Read more

SIE Study Guide 3.3 – Prohibited Activities

SIE Study Guide 3.3

SIE Study Guide Navigation In this section, we look at several prohibited activities, most notable, manipulation of the market and insider trading. There are thousands of companies that list shares on stock markets around the world. As we know, the prices for these shares are calculated through the concept of supply and demand. Prices fluctuate, … Read more

How Career Employer Collects Its Data

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