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SIE Study Guide 1.1 – Regulatory organizations, establishments and participants in the capital market
SIE Study Guide 1.2 – Structure of capital markets
SIE Study Guide 1.3 – Understanding Economic factors
SIE Study Guide 1.4 – Types of security offerings
SIE Study Guide 2.1 – Securities products in capital markets
SIE Study Guide 2.2 – Various types of Investment Risk
SIE Study Guide 3.1 – Settlement, Trading and Corporate Actions
SIE Study Guide 3.2 – Complicance Considerations and Customer Accounts
SIE Study Guide 3.3 – Prohibited Activities
SIE Study Guide 4.1 – Associated Persons SRO Regulatory Requirements

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