SIE

Background of the SIE, and important Big Picture considerations to help you pass the test.

Build a framework to evaluate each investment against key suitability points to later compare to a client’s needs, goals and risk profile.

Overview of how businesses are financed. Part One of the discussion of the Securities Act of 1933 and its meaning to securities representatives.

Further discussion of the registration process and important terms and procedures.

The structure of new issue syndicates is discussed, along with the compensation received by each entity within the syndicate.

Learn details and memory tools for securities exempt from registration under the 1933 Act.

Learn details and memory tools for new issue transaction types which exempt the offering from registration under the 1933 Act.

The Securities Exchange Act of 1934 governs secondary market trading. Learn the significant features under the 34 Act.

Further discussion of the terms, procedures and prohibited practices under the 34 Act.

Further discussion of the terms, procedures and prohibited practices under the 34 Act.

Discussion of SIPC and its coverages, FDIC, and AML provisions of the USA Patriot Act.

Discussion of the terms and provisions of the Investment Company Act of 1940 and the Investment Advisors Act of 1940. The regulatory environment of the industry is introduced, including the SEC.

General overviews of Self Regulatory Organizations other than FINRA.

Rules, regulations and prohibited practices of FINRA.

Rules, regulations and prohibited practices of FINRA.

Rules, regulations and prohibited practices of FINRA.

Rules, regulations and prohibited practices of FINRA. Part 1 of the Municipal Securities Rulemaking Board.

Conclusion of MSRB, Chicago Board Opeion Exchange. Macroeconomic factors important to the securities markets.

Economic cycles, indicators, theories and international economics.

Primary and Secondary Markets described. Third and Fourth Markets discussed.

Discussion of the major players in securities markets, GTC/Day, market, limit, stop and stop limit orders, and examination of customer account types.

Introduction to common stock’s characteristics. Important terminology explained.

Rights of common shareholders. Characteristics of preferred stock.

ADRs, rights, warrants and corporate actions affecting stock values.

General characterists and terms relating to bonds.

Pricing, measures of yield, ratingsand bond price volatility.

Convertibles and other specific types of corporate bonds. Discussion of municipal bond types and characteristics.

Types and characteristics of US Treasury securities. Discussion of money market instruments and their characteristics.

Introduction to options: Terminology, characteristics and their operation.

Specific options strategies and additional terminology. The Options Clearing Corporation. Types and structures of investment companies.

Share classes and fees, LOI, ROAvariable annuities and exchange traded products.

Other investment characteristics concerning 529 Plans, REITs, DPPs and hedge funds.

Discussion of specific risks encountered when investing in different securities, and how they can affect investors.