SIE Exam Reference Guide: Full Text for the FINRA, MSRB, CBOE & SEC Rules Referenced in the SIE Content Outline (2020 Edition) - Brossura

Coventry House Publishing

Brossura

ISBN 10: 1733837779 ISBN 13: 9781733837774

Casa editrice: Coventry House Publishing, 2019

Riassunto

Message from the publisher: This book is not intended to serve as your primary study guide for the SIE exam. Please read the description below before purchasing.

The SIE Exam Content Outline, provided by FINRA, lists 150 rules that serve as suggested reading to accompany the main exam topics that you will be tested on. These rules are listed on the Content Outline after the primary topics of study for each of the four main sections. This book is a compilation of those 150 rules and provides the full text for each. It’s intended to serve as a supplement to your self-study materials and coursework.

About the SIE Exam
The Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. In order to become registered to engage in securities business, an individual must pass the SIE exam and a qualification exam appropriate for the type of business the individual will engage in.

Dettagli dell?edizione

• Editore: Coventry House Publishing
• Data di pubblicazione: 2019
• ISBN 10: 1733837779
• ISBN 13: 9781733837774
• Rilegatura: Copertina flessibile
• Lingua: Inglese
• Numero di pagine: 526
• Contatto del produttore: non disponibile