SIE Exam

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 towards it. There are … Read more

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. In this section, we … Read more

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 of directors as well … Read more

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 these security offerings. To … Read more

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 stable and in good … Read more

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 equity securities to invest … Read more

To start, let’s take a look at the various regulatory organizations and establishments that help govern capital markets. 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 together with state regulators … Read more

Hello, our dear readers. Welcome to our insightful article on SIE study guide. This article is part of the SIE study series that has several articles to help you prepare adequately for the SIE exam. In this article, we provide study guides for the four modules that cover eleven chapters tested in the SIE exam. … Read more

Hello and welcome to the SIE exam FAQ article. We’ll cover everything from the SIE exam preparation to the study materials to taking the exam. We’ll also highlight what the four SIE exam sections contain. In a nutshell, we’ll talk about: We hope all your concerns will be addressed by the end of this article. … Read more