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FINRA SIE PrepPro- Mastering FINRA SIE: Your Comprehensive Exam Prep Guide with 1400+ Questions Bank & Detailed Answer Explanations for the Securities Industry Essentials (SIE) Exam
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Unlock your success in the Securities Industry Essentials (SIE) Exam with the "FINRA SIE Exam Preparation Guide: 1400+ Questions Bank." This comprehensive resource is your ultimate interactive learning companion, offering a vast array of questions and answers to master the intricacies of the financial world. With over 1400+ questions, meticulously crafted to cover each learning outcome, this learning resource ensures a thorough understanding of the exam content. Divided into four units, it navigates through the essential domains: Knowledge of Capital Market, Understanding Products and Their Risks, Trading, Customer Accounts, & Prohibited Activities, and Overview of the Regulatory Framework.
This online mock test is part of our Printed Book with 3000+ Question Bank: SIE Exam Preparation Guide: Mastering FINRA SIE: Your Comprehensive Exam Prep Guide with 3000+ Questions Bank & Detailed Answer Explanations for the Securities Industry Essentials (SIE) Exam
NOTE- You can avail the printed book from all major eCom platform like Amazon etc.
There are 6 Mock Test provided on this learning resource covering each test objective outlined by FINRA for respective unit.
Knowledge of Capital Markets (250 Questions)
Understanding Products and Their Risks (500 Questions)
Understanding Trading, Customer Accounts and Prohibited Activities (500 Questions)
Overview of Regulatory Framework (165 Questions)
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Learning Outcome, Test Objectives & Knowledge Area Covered on this Online Mock Test
UNIT 1 - Knowledge of Capital Market
Purpose of the primary markets
Types of primary market offerings
Participants in the primary market
Process for offering a nonexempt issue
Define shelf offerings and green shoe offerings
Types of exempt issues and issuers
Types of disclosure documents
Purpose of the secondary markets
Participants in the secondary markets
Exchanges and the OTC market
Role and authority of the Securities Exchange Commission
Name the branches of the Treasury that have regulatory authority over the securities industry.
Role of the Federal Reserve Bank
Determine the protection provided by the FDIC
Define the state administrators and NASAA
Scope of authority of the Financial Industry Regulatory Authority
MSRB scope of authority and enforcement powers.
Recognize the Exchange’s regulatory authority
Define GDP, CPI, and GNP leading, coincident, or lagging indicators
inflation, deflation, stagnation, and hyperinflation
Put the five phases of the business cycle in proper order.
Define recession and depression
Define the purpose of the Federal Reserve
Define the measures of money supply and their use
Active measures used by the Federal Reserve
Four prominent interest rates
Define the purpose of fiscal policy
Differentiate demand- and supply-side theories
Impact of exchange rates on trade and prices.
Classify industries by type (cyclical, noncyclical, countercyclical, growth).
Impact of the business cycle on different industries
Recognize the components and uses of a balance sheet
Components and uses of an income statement
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UNIT2- Understanding Products and Their Risks
Characteristics of common stock
Define a security
Dividends from common stock
Benefits of owning common stock
RIGHTS, WARRANTS
Rule 144 Restricted stock and control persons
Characteristics of American depositary receipts
Characteristics of preferred stock
Basic characteristics of bonds
Relate yields and interest rates
Ratings -Safety and volatility in bonds
Features of a zero-coupon bond
Features of bonds
Types of corporate debt and order of liquidation
Benefits and risks associated with debt securities
Differentiate general obligation and revenue bonds & Tax Aspects
Traits of T-bills, T-notes, and T-bonds
STRIPS & TIPS
Features of GNMA, FNMA, and FHLMC certificates
Money market security
Mortgage and asset-backed securities
Define a derivative
Define premium
INTRINSIC VALUE, TIME VALUE, AND THE OPTION PREMIUM
Differentiate equity, currency, and index options
Calculate break even, maximum gain and maximum loss on an individual option contract.
Determine how to best hedge risk with long options
Determine the correct steps for adding options trading to a brokerage account.
Indicate how to generate premium income by selling
Role of the Options Clearing Corporation
Classify the types of investment companies
Open- and closed-end management companies
Define variable annuity contracts
Differentiate A, B, C, and no-load share classes
Breakpoints, letters of intent, rights of accumulation, combination, and exchange privileges.
Define forward pricing, Calculate NAV & expense ratio
Name the four types of mutual fund prospectus
Differentiate 529 college savings and prepaid tuition plans
Use of local government investment plans
Structure of a general partnership
Types of limited partnerships
DPP SUITABILITY AND TAXATION
Three types of REITS.
Suitability and risk issues of investing in a hedge fund
Define ETFs and ETNs
Advantages and disadvantages of ETFs & risks of ETNs.
Define systematic risk.
Define nonsystematic risk
Ways to mitigate systematic and nonsystematic risk
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UNIT3: Understanding Trading, Customer Accounts, and Prohibited Activities
Define bullish and bearish sentiment
Differentiate market and limit orders
Define a stop order
Identify specialized, day, and GTC instructions
Define bid, ask, and size
Associate buying and selling long.
Recognize a solicited or unsolicited trade
Settlement & Delivery
Differentiate cash dividends from stocks and mutual funds.
Ordinary income, investment income, and capital gains.
Identify security benchmarks and indices
Calculate cost basis and share price adjustments for stock dividends and stock splits.
Define M&A and spin-off / buy back and a tender offer
Tax consequences & Notification requirements for corporate actions
Define proxy voting
Differentiate individual and joint registrations
Transfer on death and power of attorney instructions
Define the different types of business accounts
Differentiate living, revocable, and irrevocable trusts
Define custodial accounts
Differentiate ESAs and 529 plans
Contribution and distribution rules for traditional and Roth IRA Accounts
Defined benefit and defined contribution plans
CASH ACCOUNTS, FEE-BASED ACCOUNTS, AND MARGIN ACCOUNTS
Forms for a margin account
Calculate initial deposit requirements
Define money laundering
Requirement for an AML officer under the BSA
Know your customer rule
Investment recommendation
General rules for communication with the public
Cold call rules of the TCPA of 1991
Identify the expectations under Regulation S-P
What records are kept for the life of the firm
What records are kept for the life of the firm
Define insider trading
Types of market manipulation
Restricted persons under Rule 5130
Define improper use of customer assets
Special concerns and expectations when serving senior clients
Document handling rules
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UNIT 4: Overview of the Regulatory Framework
U4 Information
Limitations on nonregistered personnel.
Information on Form U-5.
Continuing Education
Define selling away
Limitations and rules regarding political contribution
Who this course is for:
- The Securities Industry Essentials® (SIE®) Exam is a FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. The SIE is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to prospective employers. Association with a firm is not required to take the SIE, and results are valid for four years.
- Aspiring Securities Market Professionals
- KPO & BPO Employees
- Broker Dealers
- Mutual Fund Professionals
- Stock Market Professionals
- Underwriter & Traders
- Market Makers
- Students
Buy at Publisher's Site with Free Shipping: CLICK HERE
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Enroll for Online Mock Test (eLearning): CLICK HERE
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eBook: Amazon India Amazon USA & Google Play Book
