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Exam (elaborations)

SIE Exam Prep - Finra Registration (Correctly answered)

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What entity's rules does SEC have to adhere to? correct answers Congress What entity do broker-dealers, registered reps, and exchanges/OTC markets have to adhere to? correct answers FINRA (Financial Industry Regulatory Authority) What entity must municipal securities firms and their professionals adhere to? correct answers Municipal Securities Rulemaking Board (MSRB) Who enforces state security laws? correct answers State Securities Administrators What are state securities laws referred to as? correct answers Blue sky laws Government agency whose primary mission is to maintain the integrity of US markets and protect investors, empowers self-regulatory organizations with certain enforcement responsibilities within the securities industry correct answers SEC What form associates you with a firm? correct answers Form U4 What form disassociates you with a firm? correct answers Form U5 means of settling financial disputes outside of the court system correct answers arbitration How much time will the SIE exam be valid for before association with a firm? correct answers 4 years How much time may elapse while an individual is not affiliated with a firm for the Series 7 to be valid? correct answers 2 years

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