Module 4
Overview of the Regulatory Framework: Free SIE Lessons
Review registration, continuing education, conduct records, and the events an associated person must report.
3 lessonsAbout 38 minRegulatory Framework9% of exam
Module overview
The final section focuses on the obligations attached to working in the securities industry, from registration through ongoing disclosure and conduct requirements.
Module 4
Lessons in order
Complete written lessons are open without an account.
- 4.1Registration and Continuing EducationBefore anyone can do securities business, FINRA has to register them, and some people are barred from the industry entirely. This lesson covers what registered and non-registered people may do, what keeps a person out, and the two kinds of continuing education.12 min read
- 4.2Forms U4 and U5 and Your Conduct RecordThe Form U4 registers you with a firm, and the Form U5 ends that registration. This lesson covers what goes on each form and the deadlines for updating them. It also covers how complaints and red flags reach a record the public can read.13 min read
- 4.3Reportable Events: Outside Activities, Gifts, and MoreYour firm has to know about parts of your life that happen off the clock. This lesson covers outside business activities, selling away, gifts and entertainment, political contributions, and the personal events you must disclose.13 min read