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Information from SIE study materials.
Rachel Sterchi
Mapa Mental por Rachel Sterchi, atualizado more than 1 year ago
Rachel Sterchi
Criado por Rachel Sterchi mais de 3 anos atrás
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Resumo de Recurso

SIE
  1. Retention
    1. 3 Years
      1. U-4 Form
      2. 4 years
        1. Customer Complaints
        2. 6 Years
          1. Customer New Account Forms
            1. Stock Records
          2. 5 Years
            1. CTRs
          3. Bonds
            1. Bond prices move inversely to interest rates
            2. FINRA
              1. FINRA creates the rules to prevent pay to play
              2. Money Laundering
                1. Money Laundering phases = Placement > Layering > Integration
                  1. 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.
                  2. Options

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