SIE Exam Prep
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Section 1: Knowledge of Capital Markets
This section covers the foundations of the financial services industry. You will learn about regulatory entities, types of economic markets, factors that can impact these markets, and securities offerings. At the end of this section, you will have a greater understanding of the securities industry and its regulations.Regulatory Entities
Market Participants
Market Structure
Economics
Offerings
Section 1 Quiz
Section 2: Understanding Products and their Risks
This section covers the various types of securities offered to investors along with their respective investment risks. You will learn about equity securities, debt instruments, options, direct participation programs, and other products. At the end of this section, you will have a greater understanding of the numerous investment products that form the backbone of the securities industry.Equity Securities
Debt Instruments
Options
Packaged Products
Municipal Securities
DPPs
REITs
Hedge Funds
ETPs
Investment Risk
Section 2 Quiz
Section 3: Understanding Trading, Customer Accounts and Prohibited Activities
This section covers the types of customer accounts available to investors and the compliance protocols associated with those accounts. You will learn about trade orders and settlement, corporate actions, and prohibited activities of registered representatives. At the end of this section, you will have a greater understanding of investors’ roles in the industry and the regulations that are in place to protect them.Trading
Customer Accounts
Prohibited Activites
Section 3 Quiz
Section 4: Overview of the Regulatory Framework
This section covers the regulatory requirements for registered representatives. You will learn about registration and continuing education, employee conduct rules, and reportable events that may require public disclosure. At the end of this section, you will have a greater understanding of the regulations that govern the activities of securities industry professionals.Registration
Employee Conduct
Section 4 Quiz