If you're planning to take the SIE exam, it's important that you know about FINRA's Rules. In this blog post, we will give you an introduction into some of these rules. This and many other topics will be covered on the SIE exam. So, check out the end of this blog post for how to get all the information you need to excel on this test. 

0100 Series: The FINRA Rule 100 series covers general standards for all FINRA members. This includes requirements related to financial reporting, recordkeeping, business conduct, and compliance with rules and regulations.

1000 Series: The FINRA Rule 1000 series is focused on member application and associated person registration. This includes rules related to registration requirements, ongoing obligations of registered representatives, transferring membership between firms, and other topics.

1122: The FINRA Rule 1122 addresses the filing of misleading information in connection with an SIE exam or licensing process. Any misrepresentations made during the SIE exam or licensing process could result in significant penalties or even a ban from the securities industry. 

1250: The FINRA Rule 1250 focuses on continuing education requirements for all registered representatives. Firms must ensure that their registered representatives have the necessary knowledge and skills to perform their job duties safely, ethically, and in compliance with securities laws and regulations. 

2060: The FINRA Rule 2060 covers the use of information obtained by a representative in a fiduciary capacity. This rule is designed to protect consumers and investors by ensuring that any confidential or privileged information shared during the SIE exam process is used appropriately. 

2263: FINRA's Rule 2263 requires firms to disclose any agreement they have entered into with an SIE candidate or licensing applicant regarding arbitration when this person signs or acknowledges their Form U4 registration form. This ensures that individuals are aware of their rights and responsibilities when it comes to arbitration. 

2276: Finally, FINRA's Rule 2276 is about investor education and protection. This rule requires SIE exam candidates and licensing applicants to pass an SIE exam or other qualifying examination within a specified period of time. Failure to do so could result in disciplinary action by FINRA.

These include about a third of the FINRA rules you will be responsible for knowing come test day. If you're planning to take the SIE exam, it's important to have a thorough understanding of FINRA's rules. Whether you're preparing for the SIE directly or need to gain a better understanding of securities regulations more generally, these are just some of the key rules that you should be familiar with. To learn more about these rules and many others, check out Achievable's website. Achievable offers comprehensive SIE exam prep to prepare you for the SIE Exam. With the right prep materials and support, you can pass the SIE exam with ease!