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Securities Industry Essentials (SIE) Examination Course: 5th Edition (2021) by Securities &. Insurance Exam Success

Securities Industry Essentials (SIE) Examination Course: 5th Edition (2021)

by Securities &. Insurance Exam Success
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Book cover type: Paperback
  • ISBN13: 9798455433320
  • Binding: Paperback
  • Subject: N/A
  • Publisher: Independently Published
  • Publisher Imprint: Independently Published
  • Publication Date:
  • Pages: 350
  • Original Price: GBP 79.31
  • Language: English
  • Edition: N/A
  • Item Weight: 812 grams
  • BISAC Subject(s): Professional Development

**UPDATED FOR 2021**
About the Securities Industry Essentials Examination (SIE) 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. (16% of exam; 12 questions)- Understanding Products and their Risks, covers securities products at a high level as well as associated investment risks. (44% of exam; 33 questions)- Understanding Trading, Customer Accounts and Prohibited Activities, focuses on accounts, orders, settlement and prohibited activities. (31% of exam; 23 questions) - Overview of the Regulatory Framework, encompasses topics such as SROs, registration requirements and specified conduct rules. (9% of exam; 7 questions)

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