The SIE is designed to test candidates entering the securities industry in four major topic areas: "Knowledge of Capital Markets," focuses on topics such as types of markets and offerings, broker-dealers and depositories, and economic cycles; "Understanding Products and their Risks," covers securities products at a high level as well as associated investment risks; "Understanding Trading, Customer Accounts and Prohibited Activities," focuses on accounts, orders, settlement and prohibited activities; and, "Overview of the Regulatory Framework," encompasses topics such as SROs, registration requirements and specified conduct rules.
The SIE is designed to test candidates entering the securities industry in four major topic areas: "Knowledge of Capital Markets," focuses on topics such as types of markets and offerings, broker-dealers and depositories, and economic cycles; "Understanding Products and their Risks," covers securities products at a high level as well as associated investment risks; "Understanding Trading, Customer Accounts and Prohibited Activities," focuses on accounts, orders, settlement and prohibited activities; and, "Overview of the Regulatory Framework," encompasses topics such as SROs, registration requirements and specified conduct rules.
Securities Industry Essentials Examination Course: SIE Exam Prep
252
Securities Industry Essentials Examination Course: SIE Exam Prep
252Paperback
Product Details
| ISBN-13: | 9781523693627 |
|---|---|
| Publisher: | CreateSpace Publishing |
| Publication date: | 01/25/2016 |
| Pages: | 252 |
| Product dimensions: | 8.50(w) x 11.00(h) x 0.53(d) |