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About the Securities Industry Essentials Examination (SIE) The SIE is designed to test candidates entering the securities industry in four major topic areas: “Knowledge of Capital Markets,” focuses on topics such as types of markets and offerings, broker-dealers and depositories, and economic cycles; “Understanding Products and their Risks,” covers securities products at a high level as well as associated investment risks; “Understanding Trading, Customer Accounts and Prohibited Activities,” focuses on accounts, orders, settlement and prohibited activities; and, “Overview of the Regulatory Framework,” encompasses topics such as SROs, registration requirements and specified conduct rules.
- Sales Rank: #2200641 in Books
- Published on: 2016-01-25
- Original language: English
- Number of items: 1
- Dimensions: 11.00" h x .57" w x 8.50" l, 1.30 pounds
- Binding: Paperback
- 250 pages
About the Author
About Securities & Insurance Training for Exam Success, LLC (www.sit4exam.com) Securities & Insurance Training for Exam Success, LLC is an exam preparation and continuing education company, designed to assist insurance and securities professional who are seeking to obtain or maintain their licensing. You can find more information regarding the different types of study manuals offered for insurance pre-licensing prep and securities qualification examination as well as state-specific continuing education courses at www.sit4exam.com.
Most helpful customer reviews
0 of 0 people found the following review helpful.
Looks similar to the topics covered by the Series 7 General Securities Representative exam courses I have seen and this looks li
By Annonymous
This is the first course manual of its type for this examination, which FINRA proposes to release later this year. Looks similar to the topics covered by the Series 7 General Securities Representative exam courses I have seen and this looks like its well organized and detailed. Would like to see a companion quiz/test manual as well.
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