SIE: 9.1.1. Use Of Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our SIE Online Guide

9.1.1. Use of Manipulative, Deceptive, or Other Fraudulent Devices

FINRA prohibits member firms from transacting in securities by means of manipulative, deceptive, or other fraudulent devices. This broad rule has been used over the years to address a wide range of misconduct, including market manipulation, excessive trading, and fraudulent misrepresentation. Some of th

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 9.1.1. Use Of Manipulative, Deceptive, Or Other Fraudulent Devices, you might also be interested in:

SIE - Types of Underwriting Commitments

Series 7 - 17.5.3.1.2 Cashiering Department

Series 24 - Rule 15g-8 – Escrow

Series 24 - Rule 15g-4 and Rule 15g-5 – Compensation

Series 51 - Availability

Series 7 - 6.2 Management Companies: Closed-End Funds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

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

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.

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

The (SIE) exam was tough, but I was well prepared after studying with the Solomon Exam Prep guides. Having a set study schedule made this much easier to follow along. I'll definitely be using Solomon for my Series 6 and 63 exams!

Matthew Bird, Lincoln Investment. Liverpool, NY.

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

SIE: 9.1.1. Use Of Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our SIE Online Guide

9.1.1. Use of Manipulative, Deceptive, or Other Fraudulent Devices

Since you're reading about SIE: 9.1.1. Use Of Manipulative, Deceptive, Or Other Fraudulent Devices, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →