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 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 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

SIE Study Guide Navigation There are various types of brokerage accounts that can be registered with customers. Let’s look at those you need to know about. In the world of investing, a cash account most basic account available and it’s available for anyone to open. Purchase of any securities must be paid in full to … Read more

SIE Study Guide Navigation To start this section, let’s look at strategies and orders that are often used in markets. Before we do that, however, we need to understand two market terms – bearish and bullish. No doubt you’ve heard of a bear and bull market. Bearish and bullish, however, refer to an investor’s attitude … Read more