FINRA rules/ regs list

Is there an Achievable ‘dump sheet’ or listing of rules and regs for SIE available? I thought I had seen one in here somewhere but can’t locate now? Thanks!

Hi @Underlying_amethyst - you can find the dump sheets in our Wrapping up chapter (the last chapter). Here’s the direct link to our Regulators, laws, and rules dumpsheet. Hope this helps!

Sounds like you’re close to testing. Good luck!


They’re also all on our SIE resources page!

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