SIE Lesson 3 | Broker-Dealer vs Investment Adviser (SEC vs FINRA Explained). скачать в хорошем качестве

SIE Lesson 3 | Broker-Dealer vs Investment Adviser (SEC vs FINRA Explained).

Welcome to Lesson 3 of the Securities Industry Essentials (SIE) Masterclass. In this lesson, we break down one of the most tested areas of the FINRA SIE exam: • Broker-dealers vs investment advisers • Suitability vs fiduciary duty • SEC vs FINRA • Self-Regulatory Organizations (SROs) • MSRB and state regulators • Conflicts of interest • Supervision and enforcement Understanding who regulates whom — and under which legal standard — is essential for passing the SIE. This lesson teaches you to think like a regulator. You will clearly understand: • When a broker must follow suitability • When an adviser must act as a fiduciary • Which regulator oversees broker-dealers • Who has ultimate authority over securities markets • How investor protection is enforced This is not theory. This is exam-focused regulatory clarity. If you want to pass the SIE confidently, you must master the regulatory structure early. Follow the full SIE Masterclass playlist for structured, disciplined preparation.