Mastering The Sie Exam – Securities Industry Essential

What you'll learn
Strong understanding of Capital Markets
Difference between Products & Account and how they work
Establishing suitability for customer.
How to Answer Test Questions
Requirements
Have read the SIE and/or Series 6 Book
Description
Are you eager to embark on a career in the dynamic world of finance and investment? The Securities Industry Essentials (SIE) Exam is your gateway to this exciting industry, and my comprehensive course is designed to equip you with the knowledge and skills needed to excel.In "Mastering the SIE Exam: Securities Industry Essentials," I provide a structured and in-depth exploration of the SIE Exam's content and concepts. This course covers fundamental topics, including securities products, market structure, regulatory agencies, and industry ethics. You will gain a deep understanding of the financial markets and the rules that govern them.As an experienced instructor I will guide you through a combination of lectures, interactive discussions, practice exams, and real-world case studies, ensuring that you grasp the material thoroughly. Whether you're new to the industry or seeking to solidify your foundation, this course will empower you to succeed in your SIE Exam and, subsequently, your career in the financial sector.By the end of the course, you will be well-prepared to tackle the SIE Exam with confidence, laying the groundwork for a successful career in finance, investment, or related fields. Join us in this journey to mastering the SIE Exam and unlock the doors to an exciting and rewarding profession in the world of finance.
Overview
Section 1: Introduction & Test Taking Tips
Lecture 1 Introduction & Test Taking Tips
Lecture 2 Exam Prep
Lecture 3 Read The Book
Lecture 4 Test Tips
Lecture 5 Retirement Questions.
Section 2: Knowledge of Capital Markets
Lecture 6 Five Most Important Acts On The Exam.
Lecture 7 Regulatory Entities, Agencies, and Market Participants.
Lecture 8 Other Regulators & Agencies.
Lecture 9 Market Participants and Their Roles
Lecture 10 Market Structure.
Lecture 11 The FEDs Impact On Business Activity & Market Stability.
Lecture 12 Business Economic Factors.
Lecture 13 Basic Effects On Bonds & Equity Markets.
Lecture 14 Principal Economic Theories.
Lecture 15 International Economic Factors.
Lecture 16 Offerings.
Lecture 17 Registration Of Securities and Securities Act of 1933.
Lecture 18 Offering Documents & Delivery Requirements.
Lecture 19 Regulatory Filing Requirements & Exemptions.
Lecture 20 Review Questions
Section 3: Understanding Products and Their Risks
Lecture 21 Common Stock.
Lecture 22 Preferred Stock.
Lecture 23 Control Stock, Penny Stock, & ADR.
Lecture 24 Debt Securities Intro.
Lecture 25 U.S. Treasury Securities.
Lecture 26 Corporate Bonds.
Lecture 27 Municipal Bonds & Money Market Securities.
Lecture 28 Options.
Lecture 29 Investment Companies.
Lecture 30 Variable Annuities.
Lecture 31 Open-End, Types of Sale Charge, & NAV.
Lecture 32 Investment Company Registration, Special Investment Securities,& Investment Risk
Lecture 33 Review Questions.
Section 4: Opening Customer Accounts
Lecture 34 Types of Market Orders, Discretionary Orders, etc.
Lecture 35 Investment Returns and Tax Consequences.
Lecture 36 Corporate Actions.
Lecture 37 Customer Accounts and Compliance.
Lecture 38 Customer Account Registration.
Lecture 39 Individual Qualified Plans.
Lecture 40 Employer Sponsored Qualified Plans.
Lecture 41 Books & Record Retention Requirements.
Lecture 42 Communication with the Public and Suitability.
Lecture 43 Prohibited Activities.
Lecture 44 Review Questions.
Section 5: Overview of the Regulatory Framework
Lecture 45 SRO's and Regulatory Requirements.
Lecture 46 Employee Conduct & Reportable Events.
Lecture 47 Review Questions.
Finance professional looking to pass the SIE & Series 6


Homepage

https://www.udemy.com/course/mastering-the-sie-exam-securities-industry-essential/