About This Chapter
Regulatory Framework in the Security Industry - Chapter Summary
By exploring this chapter's fun lessons, you can gain greater insight into the security industry's regulatory framework. Our instructors provide comprehensive overviews of FINRA Rule 4530, U4, U5 and also look at continuing education in security industries. Upon completion of this chapter, you could be ready to do the following:
- List and discuss registration requirements in security industries
- Explain the purpose of the U4 and U5 filing process
- Share reporting requirements for FINRA Rule 4530
- Describe how to process and report FINRA Rule 4530 customer complaints
In addition to engaging lessons, this chapter is filled with study materials that can simplify your exam preparation process. Take the quiz accompanying each lesson to quickly gauge your knowledge of main concepts. If you have any questions about lesson topics, get the clarity you need by sending them to our subject-matter experts via the dashboard. Before taking your exam, find out how well you comprehend this chapter by taking the practice test.
1. FINRA Rule 4530 & Other Reporting Requirements
What types of activities do financial professionals need to report? In this lesson, we'll examine reporting requirements for certain activities, including those covered by FINRA Rules 4530 and 4580.
2. Reporting Requirements: FINRA Rules 3220, 3221 & 3222
How should financial professionals deal with gifts, gratuities, and business entertainment? Guidelines for these types of activities are covered in FINRA Rules 3220, 3221, and 3222. We'll cover them in this lesson.
3. FINRA Rule 4530 Customer Complaints: Process & Reports
FINRA Rule 4530 requires reporting of written customer complaints. But how is this done? This lesson will look at the process and reports for Rule 4530.
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Other chapters within the SIE Exam Study Guide course
- Federal Laws & Regulations in the Securities Industry
- Regulatory Entities & Agencies
- Market Participants & Structure
- Federal Reserve & Market Impacts
- Economic Factors
- Equity Securities
- Debt Instruments
- Options in the Financial Industry
- Investment Companies & Packaged Products
- Municipal Fund Securities
- DPPs, REITs & Hedge Funds
- Exchange-Traded Products (ETPs)
- Overview of Investment Risks
- Trading Orders & Strategies
- Investment Returns & Trade Settlement
- Corporate Actions
- Customer Account Types & Registrations
- Anti-Money Laundering (AML)
- Books, Records & Privacy in Finance
- Public Communications & Suitability Requirements
- Prohibited Activities in the Financial Industry