SIE: Chapter Eight

Taken from our SIE Online Guide

Chapter Eight

Customer Accounts

Getting and keeping customers are among the most important functions of registered representatives, and hence, opening and maintaining customer accounts are major topics on the exam. Let’s examine the types of accounts that broker-dealers offer and examine the rules that govern these operations.

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Since you're reading about SIE: Chapter Eight, you might also be interested in:

Series 7 - 5.4 Options Strategies

Series 24 - 2.5.2. Sanctions

Series 7 - 3.2.3.1.7. Certificates of Participation

Series 53 - 1.1.7. MSRB Rulemaking

Series 66 - 4.2.1.5 Summary of General Investment Goals

Series 7 - 18.4.1.1 Settlement Offers

Series 24 - Tax-Qualified Plans

Series 53 - Restrictions on Transactions with Other Broker-dealers

Series 66 - Net Capital Requirements for Agents

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