Numbered SIE struggle

Securities Act of 1933

Regulates primary markets and new issues.

Securities Exchange Act of 1934

Regulates secondary markets.

Investment Company Act of 1940

Regulates mutual funds.

Investment Advisers Act of 1940

Regulates investment advisers.

SIPA

Securities Investor Protection Act.

Regulation D

Private placement exemption.

Rule 144

Resale of restricted securities.

Rule 147

Intrastate offering exemption.

Regulation A

Simplified small offering registration.

Regulation M

Prevents manipulation during distributions.

Regulation T

Margin requirements.

Regulation S-P

Customer privacy rule.

FINRA Rule 2010

Standards of commercial honor.

FINRA Rule 2090

Know Your Customer.

FINRA Rule 2111

Suitability.

FINRA Rule 2210

Communications with the public.

FINRA Rule 3310

AML compliance.

FINRA Rule 4370

Business Continuity Plan.

FINRA Rule 5130

IPO purchase restrictions.

MSRB G-17

Fair dealing.

MSRB G-30

Pricing and commissions.

MSRB G-32

Primary offering disclosures.

MSRB G-37

Political contribution rule.

MSRB G-41

AML rule.

MSRB G-47

Time-of-trade disclosure.

Form U4

Registration of representatives.

Form U5

Termination notice.

BrokerCheck

FINRA public disclosure system.

Statutory Disqualification

Felony or securities-related misdemeanor.