FinExPrep

Syllabus

Securities Industry Essentials (SIE) Exam Prep Course

65 lessons. Online and self-paced.

Markets and Industry Participants

Distinguish regulatory responsibilities, investor protections and the participants and venues that connect issuers with investors.

  1. 1SEC and Self-Regulatory Organizations
  2. 2Other Agencies and Investor Protections
  3. 3Investors and Financial Intermediaries
  4. 4Issuance and Post-Trade Participants
  5. 5Primary and Secondary Markets

Economics and Capital Formation

Connect economic conditions with securities markets and explain how issuers distribute securities.

  1. 6Federal Reserve and Monetary Policy
  2. 7Business Cycles and Economic Indicators
  3. 8International Economics and Exchange Rates
  4. 9Offering Types and Underwriting
  5. 10Registration Exemptions and Offering Documents

Equity and Debt Foundations

Compare ownership and lending instruments and interpret their basic rights, cash flows and valuation relationships.

  1. 11Common Stock Ownership Rights
  2. 12Preferred Stock Features
  3. 13Rights Warrants and Depositary Receipts
  4. 14Restricted and Control Securities
  5. 15Bond Terms and Cash Flows
  6. 16Bond Prices and Yield Relationships
  7. 17Credit Ratings and Bond Features

Debt Markets and Options

Differentiate major debt instruments and apply foundational options rights, obligations and strategies.

  1. 18Treasury and Agency Securities
  2. 19Mortgage and Asset-Backed Securities
  3. 20Municipal Debt Structures
  4. 21Corporate and Money-Market Instruments
  5. 22Call and Put Contract Mechanics
  6. 23Option Value and Settlement
  7. 24Basic Option Strategies and Exposure

Funds and Packaged Investments

Compare pooled products by structure, pricing, expenses, tax characteristics and access restrictions.

  1. 25Investment Company Structures
  2. 26Mutual Fund Pricing and Transactions
  3. 27Fund Charges and Share Classes
  4. 28Variable Annuities and Insurance Contracts
  5. 29Exchange-Traded Funds and Notes
  6. 30Municipal Fund Savings Vehicles
  7. 31Direct Participation Program Structures
  8. 32Real Estate Investment Trusts
  9. 33Hedge Funds and Private Investments

Investment Risk and Mitigation

Identify principal investment risks and select appropriate foundational mitigation techniques.

  1. 34Market and Issuer-Specific Risk
  2. 35Interest Rate and Cash-Flow Risk
  3. 36Inflation Currency and Political Risk
  4. 37Liquidity Risk and Investment Access
  5. 38Diversification and Portfolio Rebalancing
  6. 39Hedging and Product-Risk Integration

Trading and Investment Outcomes

Apply order mechanics, return measures, settlement conventions and corporate-action adjustments.

  1. 40Quotations and Trading Capacity
  2. 41Market Limit and Stop Orders
  3. 42Short Sales and Position Exposure
  4. 43Investment Returns and Benchmarks
  5. 44Dividend Dates and Entitlements
  6. 45Settlement Timing and Delivery
  7. 46Corporate Actions and Position Adjustments

Customer Accounts and Compliance

Differentiate account structures and apply foundational customer identification, protection and recommendation obligations.

  1. 47Cash Margin and Options Accounts
  2. 48Account Authority and Compensation
  3. 49Ownership and Fiduciary Registrations
  4. 50Retirement and Education Accounts
  5. 51Customer Identification and Money Laundering
  6. 52Records Privacy and Asset Protection
  7. 53Public Communications and Telemarketing
  8. 54Recommendations and Best Interest

Prohibited Securities Activities

Recognize manipulation, insider trading and other misconduct and select appropriate compliant responses.

  1. 55Market Manipulation and Trading Abuses
  2. 56Insider Trading and Information Barriers
  3. 57Customer Assets and Financial Exploitation
  4. 58IPO Restrictions and Unregistered Activity
  5. 59Fraudulent Documents and Regulatory Cooperation

Registration and Employee Obligations

Explain qualification pathways, continuing education and associated-person conduct and reporting responsibilities.

  1. 60SIE Credit and Registration Pathways
  2. 61Background Checks and Statutory Disqualification
  3. 62Regulatory and Firm Element Education
  4. 63Registration Forms and Reportable Events
  5. 64Outside Activities and Private Transactions
  6. 65Gifts Contributions and Business Entertainment
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