SIE: Using Information Obtained In A Fiduciary Capacity

Taken from our SIE Online Guide

Using Information Obtained in a Fiduciary Capacity

A member firm cannot use information about the ownership of securities that it received in the capacity as a paying agent, transfer agent, or trustee to solicit purchases, sales, or exchanges—except at the request and on behalf of the issuer of the security.

FINRA Rule 2060

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Using Information Obtained In A Fiduciary Capacity, you might also be interested in:

Series 65 - Debt to Equity

Series 53 - Transfer Validation

Series 50 - Principal Requirements

Series 65 - 1.4.1.2.3. Shareholders’ Equity

Series 3 - 2.2.3. Federal Funds Futures

Series 66 - Trading Authorization

Series 66 - 2.4.15.2 Treasury Notes and Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

Using the Solomon SIE exam practice was a huge help at preparing for the types of questions that were asked on the real test. If you are passing the tests on Solomon’s practice exams with a consistent 75% pass rate, you should feel confident going into the test. Good luck, thank you Solomon!

Blake Rossman, True Wealth Financial, Fircrest, WA

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

Solomon exam prep materials are the best! I have passed the SIE, Series 7, and Series 66 in less than 12 months using their materials. Their products are fantastic! The practice exams are excellent, and the probability calculator is spot on. I followed the provided customized study plan and took practice exams (over 20 lol) until my probability calculator was in the green (indicating a higher probability of passing) and the rest is history. There are no shortcuts. You must put in the work and stay disciplined, but the Solomon program WORKS and I would HIGHLY RECOMMEND them to anyone looking for amazing, comprehensive study materials to prepare for industry examinations.

Brandon Collins, Benchmark. Memphis, TN

I'm not the best test taker. Solomon changed that. I was struggling on the quizzes and practice test. However, I passed the SIE on the first try. Took me less than one hour to complete. I felt very prepared.

Lamar Barnes, Washington D.C.

Passed SIE on the first attempt! The multi-prong study approach Solomon puts together - read, take notes, watch videos, practice tests, review - is very effective. By the time I had worked through the plan and used the reports to bolster my weak areas, I walked into the test center with high confidence. It took a lot of time and was hard work, but the test plan and materials made it possible.

Dave Stakland, Cambridge Investment Research. Fairfield, IA.