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The Securities Industry Essentials Exam is an exciting, new development from the industry regulator known as FINRA. Historically, those who wanted to become securities agents had to be hired by a broker-dealer before taking a license exam. Now, with the implementation of the Securities Industry Essentials (SIE) Exam, those interested in entering the industry can take a securities license exam on their own. Then, after being hired by a member firm, these individuals will take a top-off exam, such as the Series 6 or Series 7, to complete their FINRA licensing requirements. The results of the SIE are good for four years. Therefore, an individual can take the exam long before he chooses his career path and begins his job search in the financial services industry. Those who have passed the Securities Industry Essentials (SIE) Exam are presumed to have an advantage over other candidates, as they have shown initiative and already cleared one hurdle in the process of getting a candidate registered with FINRA and the state securities regulators. This book follows the Securities Industry Essentials (SIE) Exam Outline provided by FINRA. There are four sections of the FINRA outline, which is why this book, also, has four chapters. Chapter 1 covers primary offerings of securities, such as IPOs or initial public offerings. Types of broker-dealer businesses and their basic financial and regulatory requirements are explored. Finally, we look in some detail at basic economic factors affecting securities investments, including inflation, interest rates, and the business cycle. The largest chapter, Chapter 2, is called "Understanding Products and Their Risks." Here, we explore insurance and securities products in detail, following with a detailed examination of investment risks related to various investment approaches. Annuities, corporate bonds, Treasuries, municipal securities, common stock, preferred stock, and derivatives are all discussed in detail in this chapter. Chapter 3 examines customer accounts, trading securities, and FINRA regulations of agents. The last chapter, Chapter 4, focuses on the regulation of the securities industry. Here, we explore federal securities legislation as well as FINRA in detail. After each chapter, you will take a chapter review exercise, and then a chapter review quiz. At the end of the four chapters, you will find two full-length practice exams, 75 questions each. A detailed glossary follows the practice exams. Finally, an index of frequently used terms is found at the end of the manual. The authors of Examzone textbooks have helped thousands pass the Series 6, 7, 24, 63, 65, 66, and 99 exams over the past 18 years. We're now excited to help you pass the Securities Industry Essentials Exam. This test will open doors for your career as was never-before possible. Once you pass this test, we look forward to helping you pass the Series 7 and Series 6 once you enter the securities industry.
Get ready to qualify for the security industry job of your dreams The Securities Industry Essentials (SIE) Exam is a new test administered by FINRA beginning in October 2018. This exam is required as a prerequisite to each series level knowledge exam (such as Series 7). If you’re prepping for the exam, you need a trusted resource to ensure your very best performance. Securities Industry Essentials Exam For Dummies with Online Practice gives you everything you need to score high on this important exam. With two practice tests in the book, plus two bonus tests online, you can practice your way to a calm and confident experience on exam day. Take 4 full-length practice tests with answers and full explanations Get 1-year access to practice and tests online Find strategies and tips for breaking into the securities industry Increase your chances of scoring higher SIE scores are expected to be a critical factor in determining qualification to enter the securities industry, so the stakes are high. With the help of this book, you’ll up your chances of breaking into this field and landing your dream job.
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