Training Programs Finance Securities Industry Essentials (SIE) Exam Prep
cart-icn

You already have a course in your cart

You can only add one course to your cart at a time! By adding this course, you will replace the existing course from your cart. How would you like to proceed?

Securities Industry Essentials (SIE) Exam Prep

This course equips you with the knowledge and strategic approach needed to pass the Securities Industry Essentials® (SIE®) Exam, a critical Financial Industry Regulatory Authority (FINRA) qualification exam. During this comprehensive training, you will learn essential industry concepts like suitability requirements, customer accounts, trading practices, regulatory frameworks, and much more.

Securities-Industry-Essentials-SIE
$550.00 (USD)

Have a question?We're here to help

Overview

Objective

Outline

  1. Welcome
  2. Equities
  3. Debt Fundamentals
  4. Additional Bond Features
  5. Corporate and US Government Debt
  6. Municipal Debt and Money Market Instruments
  7. Packaged Products
  8. Trading Markets
  9. Trade Processing and Settlement
  10. Options
  11. Individual Customer Accounts and Suitability
  12. Other Account Types
  13. Retirement Plans, Variable Annuities, and Municipal Fund Securities
  14. Primary Market
  15. Act of 1934 and Other Federal and State Regulations
  16. Self-Regulatory Organization (SRO) Rules
  17. Economic Analysis and Tax Rules

Requirements

Prerequisites

You've got questions.
We're here to help.

Our highly knowledgeable Enrollment Specialists will answer any questions you might have about the course and payment options.

REQUEST INFO

Instructor

FAQs

You've got questions.
We're here to help.

Our highly knowledgeable Enrollment Specialists will answer any questions you might have about the course and payment options.

REQUEST INFO
EHired

2 Perryville Rd
Erial, NJ 08081 US
MAIN CONTENT

Copyright © 1997 - 2025 All rights reserved. The material on this site cannot be reproduced or redistributed unless you have obtained prior written permission from Cengage Learning. Privacy Policy