[SIE] 58, FINRA and SRO Regulation
This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - The distinction between the government authority of the SEC and the self-regulatory role of FINRA. - Why membership in FINRA is mandatory for nearly all broker-dealers. - How FINRA oversees its members through rule-making, examinations, and enforcement actions. - Common…
The skinny
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