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SIE Exam Unit 10 Study Guide with Verified Solutions
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SIE Exam Unit 10 Study Guide with Verified Solutions Organization that regulates all matters related to investment banking (securities underwriting), trading in over the counter (OTC) market, trading in exchange-listed securities, and the conduct of FINRA member firms and associated persons - ...

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  • September 25, 2024
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  • 2024/2025
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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

SIE Exam Unit 10 Study Guide with
Verified Solutions


Organization that regulates all matters related to investment banking (securities

underwriting), trading in over the counter (OTC) market, trading in exchange-listed

securities, and the conduct of FINRA member firms and associated persons -

Answer✔️✔️-FINRA


What does FINRA stand for? - Answer✔️✔️-Financial Industry Regulatory Authority

FINRA's purpose and objective is to ________________________ the investment

banking and securities business, ____________________ principles and practices,

promote high ______________________ of commercial honor, and encourage the

______________________ of federal and state securities laws - Answer✔️✔️-Promote,

Standardize, Standards, Observance

FINRA's purpose & objective is to provide a medium for __________________ among

its members and between its members, the government, and other agencies -

Answer✔️✔️-Communication

FINRA's purpose & objective is to __________________, _____________________,

and _____________________ rules designed to prevent fraudulent and manipulative




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, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
practices, as well as to ___________________ just and equitable principles of trade -

Answer✔️✔️-Adopt, Administer, Enforce, Promote

FINRA's purpose & objective is to promote _________________-__________________

among members and _______________________ and ________________ grievances

between the public and members and between members - Answer✔️✔️-Self Discipline,

Investigate, Resolve

FINRA has numerous rules designed to _____________________ the

___________________ of securities markets - Answer✔️✔️-Protect, Integrity

FINRA has numerous rules designed to protect the integrity of ___________________

________________________ - Answer✔️✔️-Securities Markets

Rules that establish the relationship between firms and their customers and cover areas

such as fair dealings with customers, compensation related issues, standards for

communications, and various sales practice violations - Answer✔️✔️-Conduct Rules

Covers the enforcement of FINRA rules and details the punishment of members who

violate the Conduct Rules - Answer✔️✔️-Code of Procedure

Who investigates suspected violations of FINRA's Conduct Rules - Answer✔️✔️-FINRA's

Department of Enforcement

What does FINRA's DOE stand for? - Answer✔️✔️-FINRA Department of Enforcement

Investigations in to possible violations of FINRA Conduct Rules normally arise out of a

__________________ ___________________ or, more frequently, a


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