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Securities Industry Essentials (SIE®) Exam Prep
Overview the SIE Exam
Purpose of the SIE Exam
Eligibility
Registration and Pricing
Exam Structure
Study Materials and Resources
Knowledge of Capital Markets
The Securities and Exchange Commission (SEC)
Self-regulatory Organizations (SROs)
Other Regulators and Agencies
Market Participants and their Roles
Types of Markets
The Federal Reserve Board’s Impact on Business Activity and Market Stability
Business Economic Factors
International Economic Factors
Exchange Rates
Offerings
Equity Securities
Par and Face Value
Common Stock
Authorized Shares vs. Outstanding Shares
Preferred Stock
Warrants
American Depositary Receipts (ADRs)
SEC Rule 144: Control and Restricted Shares
Debt Securities
Treasury Securities
Agency Securities (Asset-Backed and Mortgage-Backed)
Bonds and Yields
Municipal Securities
Other Debt Securities
Options
Introduction to Options
Varying Strategies (Long and Short)
Varying Strategies (Covered Calls and Hedging)
In and Out of the Money
The Options Clearing Corporation (OCC), Secondary Market, and Opening/Closing Transaction
American vs. European Style Options
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Varying Strategies (Covered Calls and Hedging)
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