TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
SIE Exam Unit 10 Study Guide with
Verified Solutions
Organization that regulates all matters related to investment banking (securities
underwriting), trading in over the counter (OTC) market, trading in exchange-listed
securities, and the conduct of FINRA member firms and associated persons -
Answer✔️✔️-FINRA
What does FINRA stand for? - Answer✔️✔️-Financial Industry Regulatory Authority
FINRA's purpose and objective is to ________________________ the investment
banking and securities business, ____________________ principles and practices,
promote high ______________________ of commercial honor, and encourage the
______________________ of federal and state securities laws - Answer✔️✔️-Promote,
Standardize, Standards, Observance
FINRA's purpose & objective is to provide a medium for __________________ among
its members and between its members, the government, and other agencies -
Answer✔️✔️-Communication
FINRA's purpose & objective is to __________________, _____________________,
and _____________________ rules designed to prevent fraudulent and manipulative
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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
practices, as well as to ___________________ just and equitable principles of trade -
Answer✔️✔️-Adopt, Administer, Enforce, Promote
FINRA's purpose & objective is to promote _________________-__________________
among members and _______________________ and ________________ grievances
between the public and members and between members - Answer✔️✔️-Self Discipline,
Investigate, Resolve
FINRA has numerous rules designed to _____________________ the
___________________ of securities markets - Answer✔️✔️-Protect, Integrity
FINRA has numerous rules designed to protect the integrity of ___________________
________________________ - Answer✔️✔️-Securities Markets
Rules that establish the relationship between firms and their customers and cover areas
such as fair dealings with customers, compensation related issues, standards for
communications, and various sales practice violations - Answer✔️✔️-Conduct Rules
Covers the enforcement of FINRA rules and details the punishment of members who
violate the Conduct Rules - Answer✔️✔️-Code of Procedure
Who investigates suspected violations of FINRA's Conduct Rules - Answer✔️✔️-FINRA's
Department of Enforcement
What does FINRA's DOE stand for? - Answer✔️✔️-FINRA Department of Enforcement
Investigations in to possible violations of FINRA Conduct Rules normally arise out of a
__________________ ___________________ or, more frequently, a
2/6
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
SIE Exam Unit 10 Study Guide with
Verified Solutions
Organization that regulates all matters related to investment banking (securities
underwriting), trading in over the counter (OTC) market, trading in exchange-listed
securities, and the conduct of FINRA member firms and associated persons -
Answer✔️✔️-FINRA
What does FINRA stand for? - Answer✔️✔️-Financial Industry Regulatory Authority
FINRA's purpose and objective is to ________________________ the investment
banking and securities business, ____________________ principles and practices,
promote high ______________________ of commercial honor, and encourage the
______________________ of federal and state securities laws - Answer✔️✔️-Promote,
Standardize, Standards, Observance
FINRA's purpose & objective is to provide a medium for __________________ among
its members and between its members, the government, and other agencies -
Answer✔️✔️-Communication
FINRA's purpose & objective is to __________________, _____________________,
and _____________________ rules designed to prevent fraudulent and manipulative
1/6
, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
practices, as well as to ___________________ just and equitable principles of trade -
Answer✔️✔️-Adopt, Administer, Enforce, Promote
FINRA's purpose & objective is to promote _________________-__________________
among members and _______________________ and ________________ grievances
between the public and members and between members - Answer✔️✔️-Self Discipline,
Investigate, Resolve
FINRA has numerous rules designed to _____________________ the
___________________ of securities markets - Answer✔️✔️-Protect, Integrity
FINRA has numerous rules designed to protect the integrity of ___________________
________________________ - Answer✔️✔️-Securities Markets
Rules that establish the relationship between firms and their customers and cover areas
such as fair dealings with customers, compensation related issues, standards for
communications, and various sales practice violations - Answer✔️✔️-Conduct Rules
Covers the enforcement of FINRA rules and details the punishment of members who
violate the Conduct Rules - Answer✔️✔️-Code of Procedure
Who investigates suspected violations of FINRA's Conduct Rules - Answer✔️✔️-FINRA's
Department of Enforcement
What does FINRA's DOE stand for? - Answer✔️✔️-FINRA Department of Enforcement
Investigations in to possible violations of FINRA Conduct Rules normally arise out of a
__________________ ___________________ or, more frequently, a
2/6
