SIE EXAM HAS MULTIPLE QUESTIONS ON RULES OF FINRA AND OTHER SRO'S



Taking the SIE exam? Don't neglect to study rules of FINRA and other SRO's!

 What is an SRO? It stands for self-regulatory organization, such as FINRA, the Chicago Board Options Exchange (CBOE), the Municipal Securities Rulemaking Board (MSRB), and the various stock exchanges.

 Section 4.1 of the SIE Content Outline is entitled "SRO Regulatory Requirements for Associated Persons."

 Take a look at this section in the SIE Content Outline. Notice the rules and regulations that are listed.

 What does this mean for you and passing the test? It means that you cannot neglect studying the rules in depth and in detail.
Bob Eder J.D.'s book Study for the Securities Industry Essentials (SIE) Exam covers the important rules and regulations of FINRA and the other SRO's. 

 Bob Eder's book is available from Amazon in both paperback and Kindle e-book versions. 

Here is the link to Bob Eder's book on Amazon.


Bob Eder received his Juris Doctor (J.D.) degree from the University of Utah, Quinney College of Law, in 2001. He is a member of the Utah State Bar, although he does not currently practice law.

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