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Securities Industry Essentials

Trending Topics | Crunch Time Facts | Key FormulasSecurities Industry EssentialsSIEv10 Securities TRAINING CORPORATION Securities Industry Essentials (SIE) EXAM TRENDING TOPICS | CRUNCH TIME FACTS | KEY FORMULAS For more information Call 800 STC-1223 or visit 1 Securities Training Corporation. All Rights Reserved v1 0 TRENDING TOPICS Regulation Best Interest (Reg BI) In June of 2019, the SEC adopted a package of rulemakings and interpretations that are designed to enhance the quality and transparency of retail customers relationships with broker-dealers and investment advisers.

investors (e.g., banks, IAs, investment companies), FINRA’s suitability rules apply. Titles . Under Reg BI, unless a broker-dealer is also a registered investment adviser (i.e., the firm is dually registered as a broker-dealer and an adviser), the SEC has stated that it’s a violation of the disclosure obligation to use either the term

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Securities Industry Essentials

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I. The clearing firm must maintain all client information for a fully disclosed account II. Specific client information is held by the clearing firm in an omnibus account III. The executing firms are subject to counterparty risk when clearing trades through the DTCC IV. The Options Clearing Corporation only works with broker-dealers

  Corporation, Clearing, Clearing corporation

General Securities Representative Qualification

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The Crunch Time Facts are a collection of statements that we beeil ve are valuable as you engage in the fnali preparatoi n to sti for your examnati oi n. These facts are not desgnei d to raise questoi ns ; instead, they are to

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