FINRA SIE Prep Program
Invest in your future, pass the SIE Exam
Office Hours #3 Material
Topic #1 - Qualified Accounts
One of the most common goals of investing is to have sufficient funding for retirement. Qualified accounts are tax-advantaged savings accounts that encourage workers to save for retirement. We will cover traditional IRAs, Roth IRAs, defined benefit plans, and defined contribution plans along with their associated rules.
Topic #3 - Communication with the Public
Imagine you start your own wealth management practice. How would you solicit client business and keep their information confidential? This lesson covers communication with prospective clients, different types of correspondence as defined by FINRA, and business continuity plans.
Topic #2 - Prohibited Activities
Regulations surrounding the activities of Broker-Dealers can be complex. Some of these regulations are not intuitive and are among the most missed questions on test day. We will cover some of the most prominent rules governing Broker-Dealer conduct that are tested on the FINRA SIE exam.
Topic #4 - Expectations of Representatives
After you become fully licensed, there are certain rules that you must abide by to maintain good standing with FINRA. We will cover continuing education requirements, outside business activity, rules surrounding gifts, and political contributions.
Office Hours #3 Material
Topic #1 - Qualified Accounts
One of the most common goals of investing is to have sufficient funding for retirement. Qualified accounts are tax-advantaged savings accounts that encourage workers to save for retirement. We will cover traditional IRAs, Roth IRAs, defined benefit plans, and defined contribution plans along with their associated rules.
Topic #2 - Prohibited Activities
Regulations surrounding the activities of Broker-Dealers can be complex. Some of these regulations are not intuitive and are among the most missed questions on test day. We will cover some of the most prominent rules governing Broker-Dealer conduct that are tested on the FINRA SIE exam.
Topic #3 - Communication with the Public
Imagine you start your own wealth management practice. How would you solicit client business and keep their information confidential? This lesson covers communication with prospective clients, different types of correspondence as defined by FINRA, and business continuity plans.
Topic #4 - Expectations of Representatives
After you become fully licensed, there are certain rules that you must abide by to maintain good standing with FINRA. We will cover continuing education requirements, outside business activity, rules surrounding gifts, and political contributions.