Unleash Your Success: Master Employee Conduct And Reportable Events For SIE Exam Triumph!

Welcome to PassMasters’ Questions of the Week with Suzy Rhoades, our expert securities exam prep instructor.

In this video, Suzy will cover 10 questions related to the topic of Employee Conduct and Reportable Events using questions presented directly from our securities exam prep licensing courses.

Need to pass your SIE exam quickly? Check out more details about Suzy's course here:

SIE Test Prep Online Video Course with Suzy

https://passmasters.com/securities/sie/

Are you studying for another securities license exam? Chances are Suzy can help you there too. To see all of Suzy's securities exam prep course offerings, check out the following page of our site:

https://passmasters.com/securities-ex...

Check out Nikki's feedback about Suzy's SIE course below and check our site to see what others have to say about their experience preparing for their securities exams:

https://passmasters.com/testimonials/

“I PASSED the SIE, Series 6 & 63 with PassMasters!!!!! I failed the first time with Kap***. THANK YOU SO MUCH!!!!”
Nikki - SIE, Series 6 & 63 student

We will be posting questions of the week-type videos frequently, so please make sure to subscribe to our page and activate notifications.

Do you have questions about anything covered in this video? Or about any of the securities exams in general? Post a comment, and we will respond asap. Thanks for viewing, and happy studies!

Contents of this video
0:00 - Welcome
0:30 - Practice Question 1 – How long an individual has to reapply without having to retest; Maintaining Qualifications Program introduction
2:41 - Practice Question 2 – Customer complaint FINRA notification requirement
3:15 - Practice Question 3 – When to amend form U4
3:43 - Practice Question 4 – MSRB political contribution rule, de minimis
5:00 - Practice Question 5 – Form U5
5:39 - Practice Question 6 – Part-time job notification requirements
6:23 - Practice Question 7 – Form individual files to register as a registered representative
6:56 - Practice Question 8 – Non-cash compensation
7:28 - Practice Question 9 – Part-time job notification requirements (GO DODGERS!)
8:23 - Practice Question 10 – Form individual files to register as a registered representative
8:39 - Recap
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