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.