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.

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

Series 79 - Reinvestment Risk

Series 63 - Practical Application

Series 52 - 4.1.3. The Broker’s Broker

Series 51 - Exceptions to the Yield Restrictions

Series 53 - 2.5.6.2. Content Standards for Advertisements

Series 7 - 12.1.4 Bond Offerings: The Trust Indenture Act of 1939

Series 82 - Securities Exchange Act of 1934

Series 63 - Exercise

Series 26 - Capital Compliance Rule

Series 66 - Registration Exceptions

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