The rules of the industry — accounts, conduct, the Acts
Learn the regulatory backbone of the U.S. securities industry — the heart of every FINRA licensing exam. The foundational laws (Securities Act of 1933, Securities Exchange Act of 1934, the Investment Company and Investment Advisers Acts of 1940), the regulators and self-regulatory organizations (SEC, FINRA, MSRB) and what each covers, customer accounts (account types, new-account rules, margin — Regulation T initial and maintenance requirements — options approval, custodial UGMA/UTMA accounts), the conduct rules (suitability and Regulation Best Interest, communications with the public, outside business activities, gift limits), anti-money-laundering (the Bank Secrecy Act, SARs and CTRs, the three stages of laundering), market conduct (insider trading, manipulation, front-running), and the registration lifecycle (Forms U4/U5, continuing education, statutory disqualification). Each question teaches the rule, its purpose, and the classic confusion (SIPC vs FDIC, the ’33 Act vs the ’34 Act, suitability vs best interest). Aligned to the FINRA SIE and Series 7/63/65/66 content outlines using original questions — never real exam items. Keentune is independent study practice, not affiliated with or endorsed by FINRA or NASAA. Educational only — how the rules work, not legal or compliance advice.
• Meets you at your level — never too easy, never too hard.
• Adapts every question to how you’re doing.
• Tracks your level over time. Skill practice, not a test.
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