SIE: Chapter Eight

Taken from our SIE Online Guide

Chapter Eight

Customer Accounts

Getting and keeping customers are among the most important functions of registered representatives, and hence, opening and maintaining customer accounts are major topics on the exam. Let’s examine the types of accounts that broker-dealers offer and examine the rules that govern these operations.

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Chapter Eight, you might also be interested in:

Series 65 - Fixed Annuities

Series 65 - 4.5.3.1. Precious Metals

Series 99 - 1.2.3.5.1.4 Holding Checks for Extended Periods

Series 66 - 4.2.4.1 Cash Flow/Income Statement

Series 79 - A.6.4. Bond Ratings

Series 54 - The Municipal Underwriting Process

Series 66 - Exercise

Series 28 - Credit Agreement

Series 26 - Annuities

Series 52 - 1.6. Municipal Fund Securities

Series 3 - 7.3.7.3. False Representations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The materials for the SIE were very well organized and presented. The study guide is comprehensive and easy to understand. Beyond that what I found the most valuable were the practice exams particularly the detailed explanations after each set of answers. There are so many hidden gems in there be sure to scroll down so as not to miss that information. We done Solomon Prep!

Matthew Gould, GreyMan Management . Scottsdale, AZ.

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 have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

PASSED SIE ON MY FIRST TRY!! Initially started with a competitor but I was referred to study through Solomon instead. After comparing the two, I stuck to Solomon for 6 weeks straight. The material and practice q’s gave me a better understanding and helped me prepare for the actual exam. Thank you!!

Gelyn Rice, Allstate, Los Angeles CA

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC