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Securities Industry Essentials (SIE) Flashcards: Identify Prohibited Activities

Study Identify Prohibited Activities in Securities Industry Essentials (SIE) with focused flashcards that help you recognize the idea, recall the key rule, and apply it in practice-style prompts.

QUESTION

Identify the violation: a representative executes trades in a non-discretionary account without contacting the customer.

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ANSWER

Unauthorized trading (no discretionary authority). Non-discretionary accounts require per-trade approval to maintain customer control and prevent unauthorized actions.

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Securities Industry Essentials (SIE): Trading, Customer Accounts, and Prohibited Activities

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What this deck covers

This deck focuses on Identify Prohibited Activities, giving you a quick way to review the definitions, rules, and examples that matter most for Securities Industry Essentials (SIE).

How to use these flashcards

Work through these flashcards in short sessions. Try to answer each prompt before flipping the card, then revisit any cards you miss until the explanation feels automatic.

Practice questions

1 of 42Practice questions for this set
An unregistered administrative assistant at a broker-dealer is permitted to perform which of the following activities?
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