SIE: 9.2.7. No Payment For Publications That Influence A Security’s Market Price

Taken from our SIE Online Guide

9.2.7. No Payment for Publications that Influence a Security’s Market Price

Member firms may not give or offer anything of value as a reward to any person for publishing or circulating communications intended to impact the market price of any security. The rule does not apply if the communication:

• Is clearly distinguishable as paid advertisin

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 9.2.7. No Payment For Publications That Influence A Security’s Market Price, you might also be interested in:

Series 79 - Customer and Intra-Firm Communications

Series 50 - Rebate Payments

Series 50 - Inadvertent Advice

Series 66 - Chapter 9 Practice Questions

Series 65 - 6.2.3 Non-Qualified Retirement Plans

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

Passed SIE on the first attempt! The multi-prong study approach Solomon puts together - read, take notes, watch videos, practice tests, review - is very effective. By the time I had worked through the plan and used the reports to bolster my weak areas, I walked into the test center with high confidence. It took a lot of time and was hard work, but the test plan and materials made it possible.

Dave Stakland, Cambridge Investment Research. Fairfield, IA.

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

Super fast response time to emailed questions, clear explanations in the textbook and in the ungraded practice exams, and unlimited practice tests made Solomon a great resource for preparing for my SIE. Passed on first try!

Claire Pywell, R+R Financial Partners. Anchorage, AK