Master the FINRA SIE Exam: Your Path to a Securities Career

What you will learn:

Understand key regulatory bodies (FINRA, SEC, MSRB) and their roles.
Master primary vs. secondary markets, exchanges, and OTC markets.
Analyze various asset classes: stocks, bonds, mutual funds, ETFs, derivatives.
Learn about order types, margin accounts, trade settlements, and clearing.
Understand key legislation: Securities Acts of 1933 & 1934, Investment Company Act of 1940, AML compliance.
Apply fiduciary duties, suitability standards, and conflict-of-interest rules.
Assess and manage investment risks, develop diversification strategies.
Grasp tax-efficient investing and client recommendation best practices.

Description

Ace the FINRA Securities Industry Essentials (SIE) Exam with Confidence!

This independent study course provides a thorough and structured preparation for the SIE exam. It's designed to equip you with the essential knowledge and skills needed to succeed in the financial industry, covering everything from fundamental market concepts to complex investment vehicles and regulatory frameworks.

Unlike other SIE exam resources, we don't simply cover the basics; we delve into the nuances of market mechanics, regulatory compliance, ethical considerations, and risk management. Learn to navigate primary and secondary markets, analyze various asset classes (including stocks, bonds, mutual funds, ETFs, derivatives, and more), and understand the intricacies of customer accounts and trading practices.

Our expert-led video lessons break down complex topics into easily digestible modules. You'll gain a deep understanding of key regulatory bodies like FINRA, the SEC, and the MSRB, as well as critical legislation such as the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. We also explore professional ethics, fiduciary responsibilities, and compliance regulations to prepare you for a successful career.

This course is not affiliated with, endorsed by, or sponsored by FINRA, the SEC, or any regulatory authority. Always refer to official FINRA resources for the most current exam guidelines. This course aims to supplement your studies and enhance your understanding of the material. Pass your SIE exam with confidence and unlock your potential in the exciting world of finance.

Enroll today and start your journey to becoming a successful financial professional!

Curriculum

Introduction to the Securities Industry and the SIE Exam

This section lays the groundwork for your SIE exam preparation. The "Structure of the Securities Industry" lecture (5:05) provides a foundational overview of the financial world. You'll explore diverse "Financial Industry Careers and Professional Paths" (4:30), gaining insight into potential career trajectories. Finally, the "Regulatory Framework Overview" (5:39) introduces key regulatory bodies and their roles in shaping the industry.

Understanding Capital Markets

Delve into the dynamics of capital markets. Learn about "Types of Markets and Market Participants" (8:32), exploring exchanges, OTC markets, and key players. The "Market Structure and Market Indices" (8:22) lesson will teach you to interpret market indicators. "Economic Factors Affecting Markets" (7:56) and "Market Trends and Cycles" (6:21) provide economic context. Finally, "International Markets and Global Investing" (6:25) offers a global perspective on market forces.

Securities Products and Investment Vehicles

This section covers a comprehensive range of investment products. Master "Equity Securities: Common and Preferred Stock" (7:38) and "Debt Securities: Bonds and Bond Markets" (5:29). Explore "U.S. Treasury Securities and Government Bonds" (5:55) and "Municipal Securities" (6:03), alongside "Corporate Bonds and Debt Instruments" (6:33). Understand "Investment Companies: Mutual Funds and ETFs" (6:08) and "Alternative Investments" (6:32). We also cover "Packaged Products and Variable Contracts" (6:31), "Options Basics" (5:28), and "Derivatives and Complex Products Overview" (5:46).

Trading, Customer Accounts, and Prohibited Activities

Learn the practical aspects of trading and account management. Understand "Trade Settlement and Clearance" (5:17) and "Cash vs. Margin Accounts" (5:18). Master "Customer Account Documentation" (4:56) and "Retirement Accounts and Tax-Advantaged Investing" (5:21). We also address "Trade Corrections and Adjustments" (4:10) and various "Prohibited Activities," including market manipulation (5:55), insider trading (7:07), customer fraud (5:18), and undisclosed compensation (4:03).

Navigating the Regulatory Landscape

This section delves into the regulatory framework governing the securities industry. Explore the "Securities Act of 1933 Overview" (5:00), "Securities Exchange Act of 1934 Overview" (4:45), and "Investment Company Act of 1940 and Investment Advisers Act" (4:32). Understand "FINRA Rules and Regulations" (4:26), "Customer Protection and Privacy Rules" (4:17), and "Anti-Money Laundering (AML) Compliance" (4:05). Learn about "Communications with the Public" (3:45), "Licensing and Registration Requirements" (5:11), and "Business Continuity Planning and Cybersecurity" (4:49).

Professional Conduct and Ethics

Maintain the highest ethical standards in your financial career. Learn about "Fiduciary Duty vs. Suitability Standard" (4:44), "Conflicts of Interest" (4:24), "Gifts, Gratuities, and Business Entertainment" (4:43), and "Outside Business Activities and Private Securities Transactions" (4:27). Understand "Customer Complaints and Dispute Resolution" (4:20) and "Ethical Decision Making in the Securities Industry" (4:58).

Risk Management and Client Recommendations

Develop strong risk management skills. Learn about "Risk Types and Analysis" (6:16), "Diversification and Portfolio Management Principles" (4:23), and "Suitability Considerations" (3:57). Understand "Regulation Best Interest (Reg BI)" (5:18) and "Tax Considerations in Investment Decisions" (4:44).

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