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37861787
SIE
Description
Information from SIE study materials.
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finra
sie
sie exam
sie finra
Mind Map by
Rachel Sterchi
, updated more than 1 year ago
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Created by
Rachel Sterchi
over 1 year ago
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Resource summary
SIE
Retention
3 Years
U-4 Form
4 years
Customer Complaints
6 Years
Customer New Account Forms
Stock Records
5 Years
CTRs
Bonds
Bond prices move inversely to interest rates
FINRA
FINRA creates the rules to prevent pay to play
Money Laundering
Money Laundering phases = Placement > Layering > Integration
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.
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