Joint Accounts, Trusts & Margin Accounts Explained for the SIE Exam Prep (Lesson 16)!
Автор: Business with Mr. G
Загружено: 2026-02-19
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Welcome to Lesson 16 of the Securities Industry Essentials (SIE) Masterclass.
In this lesson, we break down customer account types — a heavily tested compliance section of the FINRA SIE exam.
You will learn:
• Individual accounts
• Joint tenants with rights of survivorship (JTWROS)
• Tenants in common (TIC)
• Corporate and partnership accounts
• Trust accounts and fiduciary responsibility
• Custodial accounts (UTMA / UGMA)
• Retirement accounts overview
• Margin vs cash accounts
• Discretionary account requirements
• Power of attorney authority
The SIE frequently tests:
• Survivorship rules in joint accounts
• Who has trading authority
• Written requirements for discretion
• Fiduciary duty in trust and custodial accounts
• Margin agreement requirements
This lesson reinforces regulator mindset — focusing on ownership structure, authority and investor protection.
Understanding account types is essential before mastering suitability and documentation rules.
Follow the full SIE Masterclass playlist for structured, exam-first preparation.
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