SIE: Conducting Business With The Public

Taken from our SIE Online Guide

Conducting Business with the Public

When communicating with the public about investments, you may not mislead, omit material facts, make untrue statements, or do or say anything that might defraud or deceive. This foundational principal is enshrined in the Securities Exchange Act, which says:

It is unlawful for any person, directly or indirectly, by t

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Conducting Business With The Public, you might also be interested in:

Series 66 - Preemptive Rights

Series 50 - Chapter 4 Practice Question Answers

Series 66 - 2.3.4 American Depository Receipts (ADRs)

Series 51 - Rule G-45—Reporting on 529 and ABLE Accounts

Series 53 - 6.2. Uniform Practice Code

Series 66 - 3.8.7. Private Placements: Regulation D

Series 79 - 8.3.2. Prohibitions Regarding Research Analysts

Series 7 - 11.1.9. Publication of Research Reports

Series 65 - 2.6.8. Bond Notation

Series 26 - Identity Theft Red Flags

Series 3 - 4.1.6.1.1. Finding Intrinsic Value

Series 51 - MSRB Rule D-12

Series 7 - 14.8.3 Five-Year Records

Series 7 - 18.4. FINRA Adjudicatory Procedures

Series 3 - 6.1. Fundamental Analysis

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Just Passed the SIE! I started with the Kaplan study guide -read 3 chapters and fell asleep. I searched online for exam simulators like the ones I used for my IT certifications and came across the Solomon Exam Simulator. I started taking the chapter test over and over, some as much as 15 times. I spent a month of total study time and took the practice 85 question SIE exam 4 times with an average 58% score. I also took the FINRA practice exam 2 times. The results charts gave great insight on well I was master each subject. I used them day. I will tell you that the Solomon practice questions were a lot harder then the real exam. I think that made the difference. I took me just under an hour to complete the test. On the the Series 57- too bad Solomon does not have an exam simulator for that one.

Phil A. Frisco, TX

I have now used Solomon for the SIE, series 6, and 63. I am ordering my 7 materials now. The structure and resources are right on target. The practice exams are more difficult than the exam which makes taking the exam much easier. I give all of the credit to Solomon for my 100% pass rate so far. I recommend Solomon to all of my coworkers.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

Solomon Exam Prep prepared me well with a large variety of questions on the practice exams. I was able to pass my SIE on my first attempt, onto the Series 7!

Andrew Johnson, First State Investment Services. Worthington, MN

I finally passed my SIE this month. Thank you to this AMAZING, pass or money back Solomon's test materials. 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