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  • SIE PQ Flash Cards
    SIE PQ Flash Cards

    SIE PQ Flash Cards

    By: Alan Johnson
    Knowledge of Capital Markets (Brown Cards), Understanding Products and their Risks (Blue Cards), Understanding Trading, Customer's Accounts, and Prohibited Activities (Green cards) ...
    6
    Decks
    298
    Flashcards
    2
    Learners
  • OLD_Shayan's Best SIE Exam Practice Test
    OLD_Shayan's Best SIE Exam Practice Test

    OLD_Shayan's Best SIE Exam Practice Test

    By: shayan modjtehedi
    Chapter 1 - Equity Securities, Chapter 2 - Debt Securities, Chapter 3 - Types of Bonds ...
    14
    Decks
    881
    Flashcards
    6
    Learners
  • Series 27
    Series 27

    Series 27

    By: Courtney Ritter
    Chapter 1 - Accounting Basics, Chapter 2 - BD Operations, Chapter 3 - Margin ...
    9
    Decks
    507
    Flashcards
    7
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  • SIE
    SIE

    SIE

    By: Darius joseph
    Chapter 1 Exam, Chapter 2 Equity Securities, SIE PRACTICE TEST (Mometrix) ...
    12
    Decks
    729
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    3
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  • Regulations
    Regulations

    Regulations

    By: trey abc
    Securities Act of 1933, Securities Act of 1934, Other Federal and State Regulations ...
    6
    Decks
    200
    Flashcards
    2
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  • SIE Section 3
    SIE Section 3

    SIE Section 3

    By: Cefa Butcher
    3.1.1, 3.1.2-3.1.3, 3.1.4 ...
    12
    Decks
    193
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    1
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  • Series 7
    Series 7

    Series 7

    By: Ben Gurley
    Customer Accounts, Margin Rules, Long Margin Accounts ...
    34
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    1,212
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    31
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  • Chapter 3 -Supervision of Customer- Related Activities
    Chapter 3 -Supervision of Customer- Related Activities

    Chapter 3 -Supervision of Customer- Related Activities

    By: Studying Alot
    Chapter 3 - Day-trading Accounts ( FINRA Rule 2130), Chapter 3 - Account Verification/USA PATRIOT ACT, Chapter 3 - Misc topics ...
    11
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    130
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    2
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  • Series 7
    Series 7

    Series 7

    By: Ellen Wildman
    Muni's, Options, Investment Companies ...
    8
    Decks
    188
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    1
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  • SIE Practice Exam
    SIE Practice Exam

    SIE Practice Exam

    By: Alan Johnson
    Steven Rice - D1 - Practice Exam, FINRA - Practice Exam
    2
    Decks
    150
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    2
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  • SIE Rules
    SIE Rules

    SIE Rules

    By: Cefa Butcher
    FINRA + MSRB Rules, SEC Rules, FINRA rules 2261-2360 ...
    5
    Decks
    52
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    1
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  • Customer Accounts
    Customer Accounts

    Customer Accounts

    By: Isaac Kerry
    Account Basics, Margin Rules, Long Margin Rules ...
    8
    Decks
    142
    Flashcards
    3
    Learners
  • CFP Code and Standards
    CFP Code and Standards

    CFP Code and Standards

    By: Tom Anichini
    Code of Ethics, Common FINRA Licenses, General Financial Planning
    3
    Decks
    19
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    1
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