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

If you are studying for the Securities Industry Essentials (SIE) Exam, this video is for you! In this video, Suzy will cover 7 questions the come from the topics covered in FINRA's SIE content outline in Section 4 – Overview of Regulatory Framework. These are all things you MUST KNOW! Suzy will present questions that come directly from our SIE exam prep licensing course.

To learn more about Suzy's SIE course
https://passmasters.com/securities/sie/

To check out all of Suzy's securities course offering
https://passmasters.com/securitiesex...

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

Let’s see what Michael recently had to say about Suzy’s SIE course:
“Just wanted to say thank you! I was enrolled in another SIE course and was struggling with the content. Purchased your course and passed on my first attempt! Your content is AWESOME!!! Your course is amazing. I’ve been a licensed mortgage loan originator for 20 years and I’ve had to take many many tests not only to get my licenses, but to keep them, and your course is by far the best I’ve ever taken. Kudos to you and thank you for what you do. I will definitely be using your course for the 63!”

Thank you Michael, so grateful I could help you begin your career in this industry!

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!

#sieexam #sieexamprep #FINRAexams #suzyrhoades #passmasters

Contents of this video
0:00 Welcome
0:47 Practice Question 1 – Agent registration renewal date
1:14 Practice Question 2 – Outside business activities
2:08 Practice Question 3 – Firm’s responsibility when an agent retires
2:41 Practice Question 4 – Fingerprint requirements
3:36 Practice Question 5 – When to update form U4
4:13 Practice Question 6 – When to file customer complaint summaries with FINRA
4:47 Practice Question 7 – BrokerCheck
5:19 – Recap