SIE: Use Of Manipulative, Deceptive, Or Other Fraudulent Devices

Taken from our SIE Online Guide

Use of Manipulative, Deceptive, or Other Fraudulent Devices

FINRA prohibits member firms from transacting in securities by means of manipulative, deceptive, or other fraudulent devices. This broad rule has been used over the years to address a wide range of misconduct, including market manipulation, excessive trading, and fraudulent misrepresentation. Some of these prohibited

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Use Of Manipulative, Deceptive, Or Other Fraudulent Devices, you might also be interested in:

Series 24 - Acceptance, Waiver and Consent

Series 66 - 6.5. Types of Orders

Series 54 - Exercise

Series 66 - Exercise

Series 52 - 5.1.5.4. Net Debt to Estimated Real Valuation

Series 51 - Chapter 4 Practice Question Answers

Series 24 - NASDAQ Business Hours

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my SIE exam the first time. Great tools and exam simulators, if you study the entire guide and take enough practice exams before your exam there's no reason why you wouldn't pass!

Rom Rabin, Los Angeles, CA

I passed my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

I just want to thank Solomon Exam Prep for a great semester! We taught this curriculum at Widener University for the first time. The Solomon team was great to work with! Always available, very responsive and eager to help. The online offering is very comprehensive and we didn't miss a beat when we switched to remote learning. The QwizBang game was a big hit with the students (although more fun when we were all in the same room.) I can't thank them enough for all that they have done.

Maggie Creed, Widener University, Chester, PA

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ