Secure a great career in the financial securities industry with this SIE study guide
The Securities Industry Essentials (SIE) Exam, administered by FINRA, is for aspiring securities industry professionals. Passing this exam is a prerequisite to the famous (and infamous) series-level exams such as the Series 7. SIE Exam 2025-2026 For Dummies is your one-stop study shop for the SIE exam. Test your knowledge with 4 practice tests, prep for test day, and get ready for the exam that will jumpstart your career. This book helps you lock in the key terms and concepts that you'll need to know to pass the SIE. It also teaches you how to apply them, so you can sail through test day and enter the securities industry with confidence. This revision contains more practice questions for each key content area, a new glossary of key terms, and online flashcards. Check the SIE exam off your to-do list with the help of this Dummies study guide.
Study all the content you'll need to know to pass the SIE exam Practice with 4 full-length tests and flashcards available online Learn expert strategies for scoring your highest on the test Get started on your journey to a career as a financial securities professional
This study guide is highly recommended for anyone looking to take the SIE exam in 2025 and beyond.
By:
Steven M. Rice (Empire Stockbroker Training Institute)
Imprint: For Dummies
Country of Publication: United States
Edition: 4th edition
ISBN: 9781394261871
ISBN 10: 139426187X
Pages: 416
Publication Date: 29 May 2024
Audience:
Professional and scholarly
,
Undergraduate
Format: Paperback
Publisher's Status: Forthcoming
Introduction 1 Part 1: Get Things Rolling: Starting Your SIE Journey 5 Chapter 1: Introducing the SIE (Securities Industry Essentials) Exam 7 Chapter 2: Preparing for the SIE Exam 19 Chapter 3: Examining and Mastering Question Types 31 Chapter 4: Surviving Test Day 43 Part 2: Starting at the Beginning: Basic Security Investments 49 Chapter 5: Securities Underwriting: The Process and the Team Players 51 Chapter 6: Equity Securities: Corporate Ownership 65 Chapter 7: Debt Securities: Corporate and U.S Government Loans 85 Chapter 8: Municipal Bonds: Local Government Debt Securities 105 Part 3: Diving Deeper: Taking a Look at More Complex Securities 127 Chapter 9: Delivering Diversification with Packaged Securities 129 Chapter 10: Working with Direct Participation Programs (DPPs) and REITs 149 Chapter 11: Options: Understanding the Basics of Puts and Calls 161 Part 4: Playing Nicely: Serving Your Client’s Needs and Following the Rules 189 Chapter 12: Customer Accounts: Proper Handling of Accounts 191 Chapter 13: Securities Analysis: Doing a Little Market Research 207 Chapter 14: Securities Markets: Taking Orders and Executing Trades 227 Chapter 15: Making Sure the IRS Gets Its Share 245 Chapter 16: Rules and Regulations: No Fooling Around 259 Part 5: Putting Your Pencil to Paper: Practice Exams 295 Chapter 17: Ready, Set, Go!: Practice Exam 1 297 Chapter 18: Answers and Explanations to Practice Exam 1 311 Chapter 19: Nothing But Net: Practice Exam 2 321 Chapter 20: Answers and Explanations to Practice Exam 2 335 Part 6: The Part of Tens 347 Chapter 21: Ten SIE Exam Traps to Avoid 349 Chapter 22: Ten Ways to Start Your Career Off Right 353 Glossary 357 Index 377
Steven M. Rice is a partner and instructor at Empire Stockbroker Training Institute, one of the country’s leading securities industry schools. Rice is the author of Series 7 Exam For Dummies, Series 7 Exam: 1001 Practice Questions For Dummies, and SIE Exam: 1001 Practice Questions For Dummies.
