Securities Industry Essentials Exam 2023 2024 For Dummies with Online Practice 1st edition by Steven Rice 1119886872 9781119886877

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ISBN-10 :  1119886872 

ISBN-13 :  9781119886877

Author : Steven M. Rice 

Securities Industry Essentials Exam 2023-2024 For Dummies is this year’s definitive study guide for prospective securities industry professionals–that means you! FINRA administers this notoriously difficult exam as a prerequisite to the Series 7 and other series level exams, so you’ll need to know your stuff in order to get where you’re going. Securities professionals are in high demand, and this study guide can help you become one of them. You’ll have access to two complete practice tests, plus two more online!

Securities Industry Essentials Exam 2023-2024 For Dummies with Online Practice 1st Table of contents:

Part 1: Getting Started with the SIE Exam
Chapter 1: Introducing the SIE (Securities Industry Essentials) Exam
What Is the SIE Exam, Anyway?
Profiling the SIE Exam-Taker
One’s Not Enough: Tackling the CoRequisite Exams
Signing Up
Taking a Peek at the Tested Topics
Understanding the Exam Format and Other Exam Details
Chapter 2: Preparing for the SIE Exam
Courses and Training Materials: Determining the Best Way to Study
Managing Your Study Time Wisely
Exploring Study Strategies
Developing Solid Test-Taking Skills
Knowing When You’re Ready
Chapter 3: Examining and Mastering Question Types
Familiarizing Yourself with Question Formats
Shredding the Questions: Tips and Tricks
Chapter 4: Surviving Test Day
Composing Yourself the Day Before
Making the Most of the Morning
Arriving on the Scene
Tackling the SIE
Revealing Your Results: Drumroll, Please…
Part 2: Mastering Basic Security Investments
Chapter 5: Securities Underwriting: The Process and the Team Players
Bringing New Issues to the Market
Getting Up to Speed on the Types of Securities Offerings
Reviewing Exemptions
Testing Your Knowledge
Chapter 6: Equity Securities: Corporate Ownership
Beginning with the Basics: Common Stock
Getting Preferential Treatment: Preferred Stock
Securities with a Twist
Testing Your Knowledge
Chapter 7: Debt Securities: Corporate and U.S. Government Loans
Tackling Bond Terms, Types, and Traits
Making Basic Bond Price and Yield Calculations
Determining the Best Investment: Comparing Bonds
Exploring U.S. Government Securities
Playing It Safe: Short-Term Loans or Money Market Instruments
Testing Your Knowledge
Chapter 8: Municipal Bonds: Local Government Securities
General Obligation Bonds: Backing Bonds with Taxes
Revenue Bonds: Raising Money for Utilities and Such
The Primary Market: Bringing New Municipal Bonds to Market
Examining Other Types of Municipal Bonds on the Test
Taxing BABs: Taxable Municipal Bonds
Municipal Notes: Securing Short-Term Financing
Taking a Closer Look at Municipal Fund Securities
Understanding the Taxes on Municipal Bonds
Following Municipal Bond Rules
Gathering Municipal Bond Info
“G” That’s a Whole Lot of Rules
Testing Your Knowledge
Part 3: Delving Deeper: Security Investments with a Twist
Chapter 9: Delivering Diversification with Packaged Securities
Looking at Investment Company Registration
Diversifying through Management Investment Companies
Considering Other Investment Company Options
Adding Annuities to a Portfolio
Understanding the Investment Component of Variable Life Insurance Products
Testing Your Knowledge
Chapter 10: Working with Direct Participation Programs and REITs
Searching for Identity: What DPPs Are (and Aren’t)
The DPP Characters: General and Limited Partners
Pushing through Partnership Paperwork
Passive Income and Losses: Looking at Taxes on Partnerships
Evaluating DPPs
Checking Out Types of Partnerships
Reducing Real-Estate Risk with REITs
Testing Your Knowledge
Chapter 11: Options: Understanding the Basics of Puts and Calls
Brushing Up on Option Basics
Incorporating Standard Option Math
Gaining Additional Option Insight
Testing Your Knowledge
Part 4: Playing Nicely: Serving Your Customers and Following the Rules
Chapter 12: Customer Accounts: Doing the Right Thing
Following Protocol When Opening Accounts
Selecting the Appropriate Type of Account
Working with Margin Accounts
Obeying the Telephone Act of 1991
Testing Your Knowledge
Chapter 13: Securities Analysis: Doing a Little Market Research
Getting to Know Your Securities and Markets: Securities Analysis Basics
Following the Green: Money Supply and Monetary Policy
Reading Economic Indicators
How Economic Factors Affect Securities
Your Principal Economic Theory Primer
Testing Your Knowledge
Chapter 14: Securities Markets: Taking Orders and Executing Trades
Shopping at Primary and Secondary Markets
Making the Trade
Understanding the Role of a Broker–Dealer
Receiving and Executing Customer Orders
It Takes All Kinds: Recognizing Different Types of Investors
Testing Your Knowledge
Chapter 15: Making Sure the IRS Gets Its Share
Everything in Its Place: Checking Out Tax and Income Categories
Noting Taxes on Investments
Exploring Retirement Plan Tax Advantages
Testing Your Knowledge
Chapter 16: Rules and Regulations: No Fooling Around
Meeting the Market Watchdogs: Securities Regulatory Organizations
FINRA Registration and Reporting Requirements
Trading by the Book When the Account Is Open
Committing Other Important Rules to Memory
The Investor’s Bankruptcy Shield: FDIC and SIPC Coverage
Testing Your Knowledge
Part 5: Putting Your Knowledge to Good Use: Practice Exams
Chapter 17: Bring It On: Practice Exam 1
Chapter 18: Answers and Explanations to Practice Exam 1
Making the Grade
Answer Key for Practice Exam 1
Chapter 19: Nothing But Net: Practice Exam 2
Chapter 20: Answers and Explanations to Practice Exam 2
Knowing the Score
Answer Key for Practice Exam 2
Part 6: The Part of Tens
Chapter 21: Ten SIE Exam Traps to Avoid
Easing Up on the Studying
Assuming the Question’s Intent
Reading into the Question
Becoming Distracted When Others Finish
Not Dressing for Comfort
Forgetting to Breathe
Trying to Work Out Equations in Your Head Instead of Writing Them Down
Spending Too Much Time on One Question
Changing Your Answers for the Wrong Reasons
Calculating Your Final Score Prematurely
Chapter 22: Ten Ways to Start Your Career Off Right
Win at the Numbers Game
Be an Apprentice
Do Your Homework
Treat the Minnow Like a Whale
Smile When You Dial
When a Security Falls, Don’t Be a Stranger
Put In the Hours
Broaden Your Horizons
Pay Yourself First
Set Some Goals: The Brass Ring

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