John Wiley & Sons Securities Industry Essentials Exam For Dummies with Online Practice Cover Get ready to qualify for the security industry job of your dreams The Securities Industry Essential.. Product #: 978-1-119-54500-2 Regular price: $23.27 $23.27 In Stock

Securities Industry Essentials Exam For Dummies with Online Practice

Rice, Steven M.

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1. Edition March 2019
320 Pages, Softcover
Wiley & Sons Ltd

ISBN: 978-1-119-54500-2
John Wiley & Sons

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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.

Introduction 1

Part 1: Getting Started with the SIE Exam 5

Chapter 1: Introducing the SIE (Securities Industry Essentials) Exam 7

Chapter 2: Preparing for the SIE Exam 19

Chapter 3: Examining and Mastering Question Types 31

Chapter 4: Surviving Test Day 43

Part 2: Mastering Basic Security Investments 49

Chapter 5: Underwriting Securities 51

Chapter 6: Corporate Ownership: Equity Securities 61

Chapter 7: Debt Securities: Corporate and US Government Loans 73

Chapter 8: Municipal Bonds: Local Government Securities 87

Part 3: Delving Deeper: Security Investments with a Twist 105

Chapter 9: Delivering Diversification with Packaged Securities 107

Chapter 10: Working with Direct Participation Programs and REITs 121

Chapter 11: Options: The Right to Buy or Sell at a Fixed Price 131

Part 4: Playing Nicely: Serving Your Customers and Following the Rules 149

Chapter 12: Serving Your Customers: Customer Accounts 151

Chapter 13: Doing a Little Market Research: Securities Analysis 163

Chapter 14: Going to Market: Orders and Trades 177

Chapter 15: Making Sure the IRS Gets Its Share 187

Chapter 16: No Fooling Around: Rules and Regulations 197

Part 5: Putting Your Knowledge to Good Use: Practice Exams 225

Chapter 17: Bring It On: Practice Exam 1 227

Chapter 18: Answers & Explanations to Practice Exam 1 241

Chapter 19: Nothing But Net: Practice Exam 2 251

Chapter 20: Answers & Explanations to Practice Exam 2 265

Part 6: The Part of Tens 277

Chapter 21: Ten SIE Exam Traps to Avoid 279

Chapter 22: Ten Ways to Start Your Career Off Right 283

Index 287
Steven M. Rice, founding partner and educator at Empire Stockbroker Training Institute, is the author of Series 7 Exam For Dummies. Rice also co-developed a complete library of securities training manuals for the Series 4, Series 6, Series 7, Series 24, Series 63, Series 65, and Series 66 exams.