Financial Advisor

SIE Study Guide Navigation In this section, we look at several prohibited activities, most notable, manipulation of the market and insider trading. There are thousands of companies that list shares on stock markets around the world. As we know, the prices for these shares are calculated through the concept of supply and demand. Prices fluctuate, … Read more

SIE Study Guide Navigation There are various types of brokerage accounts that can be registered with customers. Let’s look at those you need to know about. In the world of investing, a cash account most basic account available and it’s available for anyone to open. Purchase of any securities must be paid in full to … Read more

SIE Study Guide Navigation To start this section, let’s look at strategies and orders that are often used in markets. Before we do that, however, we need to understand two market terms – bearish and bullish. No doubt you’ve heard of a bear and bull market. Bearish and bullish, however, refer to an investor’s attitude … Read more

SIE Study Guide Navigation It goes without saying, every investment made comes at a risk. And that risk equates to the possibility of a financial loss on an investment decision made by an investor. For every investor that’s made a windfall, there are those who have lost out. It’s the name of the investment game. … Read more

SIE Study Guide Navigation When it comes to securities products, there are a few that the SIE exam covers including: The following are not considered to be securities: On the securities market, there is a range of equities available. Those who hold common stock in a company can vote on the election of the board … Read more

SIE Study Guide Navigation We briefly looked at the types of security offerings found in primary markets already, but because they are so critical, let’s get a little more in-depth with them. Before we do that, it’s important to relook at the various roles played by the participants in the market when it comes to … Read more

SIE Study Guide Navigation Various economic factors can affect capital markets. In this section, we will look at those that are most important. Earlier, we saw just how the Federal Reserve can use tools to understand what the economy is doing. It then has financial tools at its disposal to ensure that the economy stays … Read more

SIE Study Guide Navigation Let’s see the various kinds of capital markets as well as how they are structured. There are four main types: The investing public can buy securities on the primary market and this process is known as issuer transactions. In a broad sense, this is where investors can look for debt and … Read more

To start, let’s take a look at the various regulatory organizations and establishments that help govern capital markets. SIE Study Guide Navigation Let’s first define what the SEC is and the function it serves. The SEC’s mission is to ensure that securities laws and regulations are adhered to for all participants in capital markets. Working … Read more