SIE: Exercise

Taken from our SIE Online Guide

We have an Audiobook for this text!

Exercise

Answer the following questions.

1. What are the three categories of public communication, according to FINRA?
2. Whitney has created a retail communication about options she wants to send to her customers. When does she need to file it?
3. Charles is mailing a retail communication regarding securities futures. When must Charles file this communication with FINRA?
4. Tracy is sending out a communication that will only go to institutional investors. When must he file this with FINRA?
5. Smith & Smith created a website with both static and interactive content. Wh

+ Read More

More SIE Info

What are people saying?

Create an Account

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

Series 14 - 1.1. The Securities Act of 1933

Series 51 - Municipal Securities Principal (Series 53)

Series 24 - Networking Arrangement Guidelines

Series 66 - 9.1.6. Fraud

Series 24 - 3.2.1. By Type of Customer

Series 24 - Publication of Transactions and Quotations

Series 63 - 5.5 Investment Goals and Making Suitable Recommendations

Series 3 - 4.1.6.1. Intrinsic Value and Time Value

Series 53 - 4.3.2.1. VRDO Reporting and Disclosure Requirements

Series 63 - 3.1.1 Issuer and Securities—Definitions

Series 24 - 5.11.4.1. Good Delivery

Series 65 - Shareholder Voting Rights

Series 79 - Underwriting Agreement

Series 66 - Portfolio Income

Series 7 - 3.2.3.2.2. Taxable Municipal Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH

Solomon Exam Prep was very thorough and prepared me not only for the SIE, but the practice questions were so in-depth I now feel prepared for the Series-7 top-off as well.

Steven Laesser, Raymond James, Saint Petersburg, FL

I found encouragement along the way from reading other people's testimonials, so payback is to write one of my own. Solomon is the gold standard for customer service. I passed the 66, SIE first tries -- received a 69% on the 7 (failed), but passed on the 2nd attempt. I'm in awe over the outreach I received from day 1 but especially from Jeremy on how to move forward after falling short on the Series 7 - followed his advice - one of which was to get the accompanying videos and passed. Watching/studying the Chapter 5 video had a big impact. I also printed the questions I got wrong that I particularly struggled with while taking the online exams, printed and/or turned them into flashcards, then taped many of them around the house. It forced me to constantly revisit the information and moved me past a superficial understanding. I'll take a messy-looking home for a short time than having to retake a 3 hour and 45 minute exam.

Brook Langston, Everspire. Salt Lake City, UT

This program and study prep is amazing. I took and passed my SIE on the first attempt. If you follow the study guide you should be fine. I got to tell you I have never passed a test on the first go. Thanks, Jeremy! I appreciate all your tips and help you posted on the feed. It was all very beneficial to my success.

Tyrone Foster, Hall Labs. Provo, UT

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI