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SIE

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Information from SIE study materials.
Rachel Sterchi
Mind Map by Rachel Sterchi, updated more than 1 year ago
Rachel Sterchi
Created by Rachel Sterchi almost 2 years ago
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Resource summary

SIE
  1. Retention
    1. 3 Years
      1. U-4 Form
      2. 4 years
        1. Customer Complaints
        2. 6 Years
          1. Customer New Account Forms
            1. Stock Records
          2. 5 Years
            1. CTRs
          3. Bonds
            1. Bond prices move inversely to interest rates
            2. FINRA
              1. FINRA creates the rules to prevent pay to play
              2. Money Laundering
                1. Money Laundering phases = Placement > Layering > Integration
                  1. When a client does a lot of transactions that appear to have no meaning or benefit it could be taken as money laundering in the layering phase.
                  2. Options
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