This engaging course and study guide is designed to help you prepare and pass the SIE exam. Building your knowledge of securities industry concepts is quick and easy using our fun lessons, mini quizzes and practice tests.
Overview
Syllabus
- Ch 1. Federal Laws & Regulations in the Securities Industry
- Ch 2. Regulatory Entities & Agencies
- Ch 3. Market Participants & Structure
- Ch 4. Federal Reserve & Market Impacts
- Ch 5. Economic Factors
- Ch 6. Offerings in the Securities Industry
- Ch 7. Equity Securities
- Ch 8. Debt Instruments
- Ch 9. Options in the Financial Industry
- Ch 10. Investment Companies & Packaged Products
- Ch 11. Municipal Fund Securities
- Ch 12. DPPs, REITs & Hedge Funds
- Ch 13. Exchange-Traded Products (ETPs)
- Ch 14. Overview of Investment Risks
- Ch 15. Trading Orders & Strategies
- Ch 16. Investment Returns & Trade Settlement
- Ch 17. Corporate Actions
- Ch 18. Customer Account Types & Registrations
- Ch 19. Anti-Money Laundering (AML)
- Ch 20. Books, Records & Privacy in Finance
- Ch 21. Public Communications & Suitability Requirements
- Ch 22. Prohibited Activities in the Financial Industry
- Ch 23. Regulatory Framework in the Security Industry
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