SIE: Use Of Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our SIE Online Guide

Use of Manipulative, Deceptive, or Other Fraudulent Devices

FINRA prohibits member firms from transacting in securities by means of manipulative, deceptive, or other fraudulent devices. This broad rule has been used over the years to address a wide range of misconduct, including market manipulation, excessive trading, and fraudulent misrepresentation. Some of these prohibited

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Use Of Manipulative, Deceptive, Or Other Fraudulent Devices, you might also be interested in:

Series 51 - Federal Securities Laws

Series 54 - 2.2.2.8. Non-Solicitor Municipal Advisor Prohibitions

Series 65 - Federal Exclusions from the Definition of Investment Adviser

Series 3 - 7.3.8.1. Customer Identification Program

Series 65 - 10.11.16.4 Exemption for Certain Returned Contributions

Series 50 - Final Official Statement (FOS)

Series 51 - Enforcement of MSRB Rules

Series 54 - 2.2.2.5. Advice vs. Recommendation

Series 7 - 16.5 Required Minimum Distributions

Series 50 - Monetary and Fiscal Policy

Series 53 - MSRB Rulemaking

Series 24 - SIPC Rules

Series 66 - Exercise

Series 52 - 4.1.1. Principal vs. Agency Transactions

Series 24 - Collateralized Mortgage Obligations (CMOs)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

I finally passed my SIE this month. Thank you to this AMAZING, pass or money back Solomon's test materials. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

The (SIE) exam was tough, but I was well prepared after studying with the Solomon Exam Prep guides. Having a set study schedule made this much easier to follow along. I'll definitely be using Solomon for my Series 6 and 63 exams!

Matthew Bird, Lincoln Investment. Liverpool, NY.