SIE: Using Information Obtained In A Fiduciary Capacity

Taken from our SIE Online Guide

Using Information Obtained in a Fiduciary Capacity

A member firm cannot use information about the ownership of securities that it received in the capacity as a paying agent, transfer agent, or trustee to solicit purchases, sales, or exchanges—except at the request and on behalf of the issuer of the security.

FINRA Rule 2060

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Using Information Obtained In A Fiduciary Capacity, you might also be interested in:

Series 82 - 2.1.4.7. Internal Inspections

SIE - 3.10.1.1. Investment Objectives

Series 53 - 5.1.4.4. Hedging

Series 7 - 14.1.3 Changes in Account Name or Designation

Series 24 - Simplified Arbitration

Series 52 - 1.4.4. By Method of Determining Interest

Series 7 - 17.3.1.3 Regulation ATS

Series 66 - Debt Retirement

Series 50 - Defined Contribution Plans

Series 7 - 5.3.3.3 Debit Put Spread

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

THANK YOU SOLOMON! I passed the SIE in December and Series 6 in February. I do not have a background in finance. The study materials prepared me wonderfully for the exams. I used the study schedule - took a ton of practice exams and re-read the material. Also, the testimonials were very encouraging, so I had to share that I had the same amazing experience. Thank you so much!

Candace Chavez, Cetera Investment Services. Wimberley, TX

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

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