SIE: 9.2.2. No Trading Ahead Of Research Reports

Taken from our SIE Online Guide

9.2.2. No Trading Ahead of Research Reports

Member firms are prohibited from increasing or decreasing an inventory position based on advance, nonpublic information contained in a research report before the research report is released. This rule extends to inve

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: 9.2.2. No Trading Ahead Of Research Reports, you might also be interested in:

Series 50 - Variable-Rate Securities

Series 82 - Reports and Recordkeeping

Series 65 - Regulation of Agents of Broker-Dealers and Agents of Issuers

Series 26 - Customer Availability of FINRA Manual

Series 65 - 10.11.15. Indirect Violations

Series 51 - Advertising Must Be Truthful

Series 53 - 4.1.5.3.5.2. The 529 Savings Plan

Series 27 - Supervisory Qualifications

Series 7 - 3.3.3.1. Initiating the Sale

Series 82 - Communications with the Public

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Excellent! The Solomon curriculum prepared me well enough to make me feel comfortable during the actual exam. Practice questions and mock exams were challenging enough to test my knowledge but not too challenging to the point where I was discouraged.

Alex Syku. Easton, CT

Passed the SIE on the first try. Solomon Exam Prep is definitely the way to go. Just follow your study guide. The practice exams are where Solomon truly shines. I will certainly be using Solomon for the Series 7.

Brandon Collins, Benchmark. Memphis, TN

Solomon Exam Prep was very thorough and prepared me not only for the SIE, but the practice questions were so in-depth I now feel prepared for the Series-7 top-off as well.

Steven Laesser, Raymond James, Saint Petersburg, FL

Super fast response time to emailed questions, clear explanations in the textbook and in the ungraded practice exams, and unlimited practice tests made Solomon a great resource for preparing for my SIE. Passed on first try!

Claire Pywell, R+R Financial Partners. Anchorage, AK

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR