SIE: Restrictions On The Sharing Of Accounts With Customers

Taken from our SIE Online Guide

Restrictions on the Sharing of Accounts with Customers

FINRA also prohibits member firms and associated persons from sharing directly or indirectly in the profits or losses in any customer account, unless the following conditions apply: (1) the associated person obtains prior written consent from both the member firm and the customer,

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Restrictions On The Sharing Of Accounts With Customers, you might also be interested in:

Series 65 - The Investment Adviser Registration Process

Series 79 - Aggressive Growth

Series 26 - Chapter 1 Practice Questions

Series 79 - 8.2.2. Free Writing Prospectuses

Series 66 - Brady Bonds

Series 63 - Exceptions for Canadian Broker-Dealers

SIE - Exercise

Series 65 - 8.9.3.2 Exceptions for Canadian Broker-Dealers

Series 53 - Chapter 6 Practice Question Answers

Series 63 - Electronic Communications and Social Media

Series 24 - 5.6.1.2. Order Entry Firms

Series 24 - 3.1. Opening and Maintaining a Client Account

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the SIE with the help of the practice exams from this course. The practice exams from this course seemed a bit needlessly difficult compared to the actual exam I took. While it prepared me well, it caused a lot of unnecessary stress. Don’t over do it on the practice exams.

Christian Heer, Merrill lynch . Los angeles, CA

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I finally passed my SIE this month. Thank you to this AMAZING, pass or money back Solomon's test materials. 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

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL

I only used the exam simulator and it was the best decision I made! I read a different textbook and used Solomon solely for test prep questions. I promise you the $70 or so this cost is 100% worth it. Every question that I got on my exam (May 2020) was related to all the questions asked in the Solomon exam simulator. If you are willing to put in the work and take all of the chapter quizzes and then take 5 each of the time/not timed exams you will pass. Another good thing is that you can download their app and take exams on your phone - I found this very useful when I didn't want to always be on my laptop all day.

Nick Sciortino, Barrington, NJ