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Module 1: Understanding Capital Markets
Understanding how capital markets work is essential to passing the SIE exam.
After all, this is the key component on which the financial industry is built.
In this section, we cover various critical features of capital markets including:
- Regulatory establishments
- Who participates in the capital market and the roles they fulfill
- How the capital market is structured
- How economics affect the capital market
- The offerings found in capital markets
This study guide would obviously be much too big for one page so we have broken it down into smaller chapters. Please click on the link below to study any section of your choosing.
- 1.1 Regulatory organizations, establishments and participants in the capital market
- 1.2 Structure of capital markets
- 1.3 Understanding economic factors
- 1.4 Types of security offerings
Module 2: Comprehension of Products And Their Risks
This module offers a more in-depth look at the types of securities investors can buy as well as the risks associated with them.
Module 3: Understanding Customer Accounts, Prohibited Activities and Trading
This module looks at trading, customer accounts, and prohibited activities with topics including public communications, investment returns, corporate actions, anti-money laundering, and more.
- 3.1 Settlement, trading, and corporate actions
- 3.2 Compliance considerations and customer accounts
- 3.3 Prohibited activities
Module 4: Regulatory Framework Overview
There are various self-regulatory (SRO) requirements when dealing with associated persons.
There you have it for our SIE exam study guide.
We hope that it helps you to pass the FINRA exam.
It should always be used in conjunction with the course materials, however, and never as a substitute for it.