SIE Exam Prep
Section 1: Knowledge of Capital MarketsThis 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.
Section 1 Quiz
Section 2: Understanding Products and their RisksThis 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.
Section 2 Quiz
Section 3: Understanding Trading, Customer Accounts and Prohibited ActivitiesThis 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.
Section 3 Quiz
Section 4: Overview of the Regulatory FrameworkThis 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.
Section 4 Quiz