SIE Market Participants Map: Broker-Dealers, Advisers, Custodians, DTCC, OCC

OCC is not the Comptroller. This lesson covers Broker-Dealers, Advisers, Custodians, DTCC, OCC -- FINRA SIE outline section 1.1.4, part of "Knowledge of Capital Markets." Free practice for this section, every wrong answer explained: https://indepthacademics.com/sie/unit... Full playlist: SIE Section 1 — Knowledge of Capital Markets (16% of the exam). Chapters: 0:00 The Map, Investors and the Accredited Numbers 2:05 The Firms and the Back Office 6:00 Two Questions, Then the Sheet Covered in this lesson (FINRA SIE Content Outline © 2025, section 1.1.4): • One Trade, Many Participants • Three Investor Types • The Accredited Investor Tests • Introducing, Clearing, Prime • Two Kinds of Adviser • Issuer Raises It, Underwriter Places It • The Market Maker's Job • Paid to Underwrite, Never to Quote • Custodian Holds It, Transfer Agent Records It • Depositories Settle the Trade • OCC Has Two Meanings • Introducing vs Clearing, By Rule • Net worth $900,000, home excluded. Accredited on the net-worth test? • Under "depositories and clearing corporations" on the SIE outline, OCC means: • The Participant Map Sources: Securities Industry Essentials (SIE) Examination Content Outline, (c) 2025 FINRA; FINRA Rule 5250 -- Payments for Market Making; FINRA Rule 2266 -- SIPC Information; 17 CFR 230.501(a) -- Regulation D Rule 501(a), Accredited Investor Definitions. FINRA®, the SEC and the SIE® exam names referenced are the property of their respective regulatory bodies. This channel is independent — not affiliated with, sponsored by, or endorsed by FINRA, the SEC, MSRB or CBOE. It exists to help candidates prepare for the exam. #SIEExam #FINRA #SIEExamPrep