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FINRA SIE Unit 10 Exam 43 Questions with Verified Answers,100% CORRECT, Exams of Business Economics

FINRA SIE Unit 10 Exam 43 Questions with Verified Answers

Typology: Exams

2023/2024

Available from 09/23/2024

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Download FINRA SIE Unit 10 Exam 43 Questions with Verified Answers,100% CORRECT and more Exams Business Economics in PDF only on Docsity! FINRA SIE Unit 10 Exam 43 Questions with Verified Answers Organization that regulates all matters related to investment banking (securities underwriting), trading in over the counter (OTC) market, trading in exchange- listed securities, and the conduct of FINRA member firms and associated persons - CORRECT ANSWER FINRA What does FINRA stand for? - CORRECT ANSWER Financial Industry Regulatory Authority FINRA's purpose and objective is to ________________________ the investment banking and securities business, ____________________ principles and practices, promote high ______________________ of commercial honor, and encourage the ______________________ of federal and state securities laws - CORRECT ANSWER Promote, Standardize, Standards, Observance FINRA's purpose & objective is to provide a medium for __________________ among its members and between its members, the government, and other agencies - CORRECT ANSWER Communication FINRA's purpose & objective is to __________________, _____________________, and _____________________ rules designed to prevent fraudulent and manipulative practices, as well as to ___________________ just and equitable principles of trade - CORRECT ANSWER Adopt, Administer, Enforce, Promote FINRA's purpose & objective is to promote _________________- __________________ among members and _______________________ and ________________ grievances between the public and members and between members - CORRECT ANSWER Self Discipline, Investigate, Resolve FINRA has numerous rules designed to _____________________ the ___________________ of securities markets - CORRECT ANSWER Protect, Integrity FINRA has numerous rules designed to protect the integrity of ___________________ ________________________ - CORRECT ANSWER Securities Markets Rules that establish the relationship between firms and their customers and cover areas such as fair dealings with customers, compensation related issues, standards for communications, and various sales practice violations - CORRECT ANSWER Conduct Rules Covers the enforcement of FINRA rules and details the punishment of members who violate the Conduct Rules - CORRECT ANSWER Code of Procedure Who investigates suspected violations of FINRA's Conduct Rules - CORRECT ANSWER FINRA's Department of Enforcement What does FINRA's DOE stand for? - CORRECT ANSWER FINRA Department of Enforcement Investigations in to possible violations of FINRA Conduct Rules normally arise out of a __________________ ___________________ or, more frequently, a __________________ ______________________ - CORRECT ANSWER FINRA Auditor, Customer Complaint FINRA does not have the power to _______________________ - CORRECT ANSWER Arrest Council in which Code of Procedure decisions may be appealed to - CORRECT ANSWER National Adjudicatory Council FINRA division in which Code of Procedure decision appeals are heard by - CORRECT ANSWER National Adjudicatory Council