SIE: Customers’ Securities Or Funds

Taken from our SIE Online Guide

Customers’ Securities or Funds

A firm cannot lend a customer’s securities to itself or others without first obtaining the customer’s written authorization. Customer accounts with fully paid or excess margin securities must segregate these securities, and the firm must notify FINRA at least 30 days before lending the securities.

The firm must provide the following information to FINRA:

• Name and CRD number of the firm
• Name of individual contact at firm

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Customers’ Securities Or Funds, you might also be interested in:

Series 24 - 3.8.5.7. Selling Dividends

Series 3 - 7.4.2.3. Business Disclosures

Series 65 - Beta Coefficient

Series 79 - Chapter 3 Practice Question Answers

Series 7 - 17.5.2.1. Clearance and Settlement for Trades Cleared Electronically

Series 79 - Liabilities

Series 28 - Aggregate Indebtedness

Series 27 - Non-Marketable Securities

Series 24 - Internal Inspections

Series 26 - Money Drawn From a Customer’s Account

Series 51 - Beneficiaries

Series 66 - Exercise

Series 65 - Taking Advantage of Leverage

Series 7 - 17.2.1.5. Market Center Order Entry

Series 65 - 5.1.2.5 S Corporations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

Excellent! The Solomon curriculum prepared me well enough to make me feel comfortable during the actual exam. Practice questions and mock exams were challenging enough to test my knowledge but not too challenging to the point where I was discouraged.

Alex Syku. Easton, CT

THANK YOU SOLOMON! I passed the SIE in December and Series 6 in February. I do not have a background in finance. The study materials prepared me wonderfully for the exams. I used the study schedule - took a ton of practice exams and re-read the material. Also, the testimonials were very encouraging, so I had to share that I had the same amazing experience. Thank you so much!

Candace Chavez, Cetera Investment Services. Wimberley, TX

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

I passed my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH