SIE EXAM TESTS APPLICANTS ON SEC RULE 144, SO BE PREPARED

The Securities Industry Essentials (SIE) includes questions on SEC Rule 144. This rule governs the sale of control stock and restricted shares by certain shareholders affiliated with, or connected to, a publicly traded company.

Don't believe me? Check section 2.1.1 of FINRA's Content Outline for the SIE exam. Under Required Knowledge, FINRA lists SEC Rule 144. Therefore, before going in to sit for the SIE exam, make sure you are prepared with knowledge of Rule 144.

Bob Eder's Study for the Securities Industry Essentials Exam contains three pages of discussion on the aspects of Rule 144, including requirements that must be met before the sale of either control stock or restricted shares.

Here is the link to FINRA's Content Outline for the SIE exam. See the references to SEC Rule 144 under section 2.1.1 (Required Knowledge) of FINRA's Content Outline.

Study for the Securities Industry Essentials (SIE) Exam is available from Amazon in both paperback and Kindle e-book versions. 

See Bob Eder's Author Page on Amazon.com.

For questions about Bob Eder's SIE manual, Study for the Securities Industry Essentials (SIE) Exam, or questions in general about the SIE exam, such as Rule 144, feel free to email Bob Eder at bobeder@bobeder.net.

Bob Eder received his Juris Doctor (J.D.) degree from the University of Utah, Quinney College of Law in 2001. 

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