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Securities Industry Essentials® (SIE®) - Sandbox > 3.2.4 Books and Records and Privacy Requirements > Flashcards

3.2.4 Books and Records and Privacy Requirements Flashcards

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SIE Exam flashcards

Securities Industry Essentials® (SIE®) - Sandbox (34 decks)

1.1.1 The Securities and Exchange Commission (SEC)

1.1.2 Self-regulatory Organizations (SROs)

1.1.3 Other Regulators and Agencies

1.1.4 Market Participants and their Roles

1.2.1 Types Of Markets

1.3.1 The Federal Reserve Board’s Impact on Business Activity and Market Stability

1.3.2 Business Economic Factors

1.3.3 International Economic Factors

2.1.1 Equity Securities

2.1.2 Debt Instruments

2.1.4 Packaged Products

2.1.5 Municipal Fund Securities

2.1.6 Direct Participation Programs (DPPs)

2.1.7 Real Estate Investment Trusts (REITs)

2.1.8 Hedge Funds

2.1.9 Exchange-traded Products (ETPs)

2.2 Investment Risks

3.1.1 Orders and Strategies

3.1.2 Investment Returns

3.1.3 Trade Settlement

3.1.4 Corporate Actions

3.2.1 Account Types and Characteristics

3.2.2 Customer Account Registrations

3.2.3 Anti-money Laundering (AML)

3.2.4 Books and Records and Privacy Requirements

3.2.5 Communications with the Public and General Best Interest Obligations and Suitability Requirements

3.3.1 Market Manipulation

3.3.2 Insider Trading

3.3.3 Other Prohibited Activities

4.1.1 Registration and Continuing Education

4.2.1 Employee Conduct

4.2.2 Reportable Events

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