FINRA SIE Domain 3: Trading, Accounts & Prohibited Activities - Notes & Study Material for FINRA SIE
Get access to free study material for FINRA SIE Domain 3: Trading, Accounts & Prohibited Activities of FINRA SIE for 2026 exams, with Revision Notes, PPTs, Flashcards, Question & Answer, & more.
KYC
| Know Your Customer (KYC) Requirements 8 pages |  |
| Customer Identification and Verification 9 pages | |
| Customer Profile Information 11 pages | |
| Know Your Customer (KYC) Requirements 17 pages | |
| Customer Identification and Verification 15 pages | |
| Customer Profile Information 17 pages | |
Suitability
| Suitability Standard 7 pages | |
| Reasonable Basis Suitability 7 pages | |
| Customer-Specific Suitability 7 pages | |
| Quantitative Suitability 6 pages | |
| Suitability Standard 17 pages | |
| Reasonable Basis Suitability 16 pages | |
| Customer-Specific Suitability 19 pages | |
| Quantitative Suitability 15 pages | |
| Flashcards: Suitability 60 cards | |
Investment Objectives
| Types of Investment Objectives 11 pages | |
| Risk Tolerance Assessment 9 pages | |
| Time Horizon and Liquidity Needs 7 pages | |
| Matching Investments to Objectives 10 pages | |
| Types of Investment Objectives 15 pages | |
| Risk Tolerance Assessment 17 pages | |
| Time Horizon and Liquidity Needs 13 pages | |
| Matching Investments to Objectives 19 pages | |
| Cheat Sheet: Investment Objectives 7 pages | |
| Flashcards: Investment Objectives 92 cards | |
Order Types
| Time-in-Force Instructions 7 pages | |
| Time-in-Force Instructions 12 pages | |
| Flashcards: Order Types 58 cards | |
Trade Execution
| Trade Execution Process 10 pages | |
| Best Execution Requirements 10 pages | |
| Order Routing and Handling 8 pages | |
| Trade Confirmations 9 pages | |
| Trade Execution Process 17 pages | |
| Best Execution Requirements 18 pages | |
| Order Routing and Handling 18 pages | |
| Trade Confirmations 15 pages | |
| Cheat Sheet: Trade Execution 9 pages | |
| Flashcards: Trade Execution 92 cards | |
Settlement
| Trade Settlement Cycle 9 pages | |
| Regular-Way Settlement 7 pages | |
| Cash vs Margin Settlement 8 pages | |
| Failed Trades and Buy-Ins 5 pages | |
| Trade Settlement Cycle 15 pages | |
| Regular-Way Settlement 13 pages | |
| Cash vs Margin Settlement 17 pages | |
| Failed Trades and Buy-Ins 16 pages | |
| Flashcards: Settlement 66 cards | |
Margin Accounts
| Margin Account Basics 8 pages | |
| Initial Margin Requirements 6 pages | |
| Maintenance Margin and Margin Calls 7 pages | |
| Risks of Margin Trading 6 pages | |
| Margin Account Basics 15 pages | |
| Initial Margin Requirements 14 pages | |
| Maintenance Margin and Margin Calls 15 pages | |
| Risks of Margin Trading 16 pages | |
| Cheat Sheet: Margin Accounts 8 pages | |
| Flashcards: Margin Accounts 38 cards | |
Short Sellin
| Short Selling Basics 7 pages | |
| Borrowing and Delivering Securities 8 pages | |
| Regulation of Short Sales 9 pages | |
| Risks of Short Selling 5 pages | |
| Anti-Money Laundering (AML) Fundamentals 13 pages | |
| Customer Due Diligence and Monitoring 8 pages | |
| Suspicious Activity Detection and Reporting 7 pages | |
| AML Program Requirements 11 pages | |
| Regulatory Reporting Requirements 9 pages | |
| Trade Reporting Obligations 7 pages | |
| Customer Disclosure and Recordkeeping 11 pages | |
| Regulatory Filing and Documentation Requirements 13 pages | |
| Short Selling Basics 16 pages | |
| Borrowing and Delivering Securities 16 pages | |
| Regulation of Short Sales 17 pages | |
| Risks of Short Selling 16 pages | |
| Anti-Money Laundering (AML) Fundamentals 21 pages | |
| Customer Due Diligence and Monitoring 17 pages | |
| Suspicious Activity Detection and Reporting 15 pages | |
| AML Program Requirements 19 pages | |
| Regulatory Reporting Requirements 17 pages | |
| Trade Reporting Obligations 13 pages | |
| Customer Disclosure and Recordkeeping 17 pages | |
| Regulatory Filing and Documentation Requirements 18 pages | |
| Flashcards: Short Selling 42 cards | |
AML Compliance
| Cheat Sheet: AML Compliance 7 pages | |
| Flashcards: AML Compliance 30 cards | |
Reporting Requirements
| Flashcards: Reporting Requirements 40 cards | |
Insider Trading
| Insider Trading Rules and Prohibitions 9 pages | |
| Material Nonpublic Information (MNPI) 12 pages | |
| Penalties for Insider Trading 8 pages | |
| Insider Trading Rules and Prohibitions 21 pages | |
| Material Nonpublic Information (MNPI) 19 pages | |
| Penalties for Insider Trading 10 pages | |
| Flashcards: Insider Trading 32 cards | |
Market Manipulation
| Forms of Market Manipulation 10 pages | |
| Manipulative Trading Practices 13 pages | |
| Regulatory Enforcement Against Manipulation 11 pages | |
| Forms of Market Manipulation 17 pages | |
| Manipulative Trading Practices 19 pages | |
| Regulatory Enforcement Against Manipulation 16 pages | |
| Flashcards: Market Manipulation 42 cards | |
Front Running
| Definition of Front Running 5 pages | |
| Front Running Prohibitions 8 pages | |
| Examples and Regulatory Consequences 11 pages | |
| Definition of Front Running 17 pages | |
| Front Running Prohibitions 18 pages | |
| Examples and Regulatory Consequences 18 pages | |
| Flashcards: Front Running 44 cards | |
Churning
| Definition of Churning 4 pages | |
| Indicators of Excessive Trading 7 pages | |
| Suitability and Fiduciary Concerns 7 pages | |
| Regulatory Penalties for Churning 14 pages | |
| Definition of Churning 16 pages | |
| Indicators of Excessive Trading 16 pages | |
| Suitability and Fiduciary Concerns 14 pages | |
| Regulatory Penalties for Churning 21 pages | |
| Flashcards: Churning 42 cards | |
