Home / Course catalog / Securities Industry Essentials SIE Exam


Subscribe ($557.00)

Securities Industry Essentials SIE Exam


Description
This capstone course prepares you to take the Securities Industry Essentials (SIE) Exam. These highly-illustrated, practical, story-based examples are designed to "bring the concepts" together. The course includes a comprehensive outline and workbook with easy-to-understand charts and the "Whys" behind the test concepts. This course is designed to go along with a textbook and quiz bank (see our Shop page) from other providers and is not likely to be enough study on its own for you to pass your exam.

Before you begin, you will save time if you watch our FREE TEST SECRETS course at AdviserTestPrep.com. Also, be sure to see the instructions below that allow you to see your course on your mobile device.

Please know that we are here to help! Email us at Coach@AdviserTestPrep.com or phone us at 719-278-3883.

Thanks again for choosing Adviser Test Prep!
Content
  • How To View Your Course On Your Mobile Device
  • SESSION 1: INTRO AND OVERVIEW: WHY THIS EXAM?
  • SIE SESSION 1: OUTLINE AND WORKBOOK - PLEASE DOWNLOAD AND PRINT
  • SESSION 1 WHY THIS EXAM AND OVERVIEW 24:53
  • Session 2: Understanding Equity Securities
  • SESSION 2 UNDERSTANDING EQUITY SECURITIES 22:32
  • Session 3: Understanding Corporate Debt
  • SESSION 3 Understanding Corporate Debt 33:15
  • Session 4: Understanding Government Debt
  • Session 4 Understanding Government Debt 29:21
  • Session 5: Regulatory Entities
  • SESSION 5: REGULATORY ENTITIES 12:51
  • Session 6: Market Participants and Their Roles
  • SESSION 6: MARKET PARTICIPANTS AND THEIR ROLES 18:59
  • Session 7: Issuing Corporate Securities
  • SESSION 7: ISSUING CORPORATE SECURITIES 22:28
  • Session 8: Registration for Corporate Securities
  • Session 8: Registration for Corporate Securities 34:09
  • Session 9: Issuing Municipal Securities
  • Session 9: Issuing Municipal Securities 16:06
  • Session 10: Trading Places
  • Session 10: Trading Places 5:32
  • Session 11: Economics 101
  • Session 11: Economics 101 27:29
  • Session 12: Options
  • Session 12: Options 20:46
  • Session 13: Investment Companies
  • Session 13 Investment Companies 32:16
  • Session 14: Mutual Fund Marketing, Pricing and Valuation
  • Session 14: Mutual Fund Marketing, Pricing and Valuation 27:51
  • Session 15: Packaged Products, Hedge Funds, ETFs, REITs and DPPs
  • Session 15 Packaged Products Hedge Fds, ETFs, DPPs 14:12
  • Session 16: Understanding Investment Risks
  • Session 16 Risk 6:33
  • Session 17 Customer Accounts - Know Your Customer
  • Session 17 Customer Accounts: Know Your Customer 22:47
  • Session 18: Investment Recommendations and Suitability
  • Session 18: Investment Recommendations and Suitability 17:40
  • Session 19: Retirement Accounts
  • Session 19: Retirement Accounts 25:52
  • Session 20: Trading, Settlement and Corporate Actions
  • Session 20: Trading, Settlement and Corporate Actions 25:23
  • Session 21: Investment Returns and Performance Measures
  • Session 21: Investment Returns and Performance Measures 16:55
  • Session 22: Corporate Actions
  • Session 22: Corporate Actions 6:34
  • Session 23: USA Patriot Act and Anti-Money Laundering (AML) Compliance
  • Session 23: USA Patriot Act, AML, Compliance 9:32
  • Session 24: Books, Records and Privacy Requirements
  • Session 24: Books, Records and Privacy 8:16
  • Session 25: Communications with the Public
  • Session 25: Communications with the Public 10:21
  • Session 26: Prohibited Activities
  • Session 26: Prohibited Activities 25:52
  • Session 27 Ethics in the Securities Industry
  • Session 27: Ethics in the Securities Industry 5:12
  • Session 28 SRO Regulatory Requirements for Associated Persons
  • Session 28 SRO Regulations for Registered Persons 16:46
  • Session 29 Employee Conduct and Reportable Events
  • Session 29 Employee Conduct and Reportable Events 12:29
  • Session 30 Question Review
  • SESSION 30 QUESTION REVIEW 45:35
  • SESSION 30 QUESTION REVIEW QUIZ
  • Session 31 Test Strategies
  • Session 31 Test Strategies 12:00
Completion rules
  • All units must be completed
Back