SIE guides
About the exam
Topics
- SIE Knowledge of Capital MarketsKnowledge of Capital Markets for the SIE: primary and secondary markets, the role of the Federal Reserve, economic indicators and business cycles, with practice.
- SIE Customer AccountsCustomer accounts for the SIE exam: individual, joint, custodial and discretionary accounts, margin basics, and anti-money laundering rules, with practice questions.
- SIE Exam Formulas and CalculationsThe formulas on the FINRA SIE exam: bond yields, options breakeven and max gain/loss, mutual fund sales charges and taxable equivalent yield.
- SIE Regulatory FrameworkThe SIE regulatory framework: the SEC, FINRA and other SROs, the Securities Act of 1933 and Exchange Act of 1934, Form U4 and U5, with practice questions.
- SIE Options Basics: Calls, Puts and the Four PositionsOptions for the SIE exam: calls and puts, buyers and sellers, in and out of the money, breakeven and maximum gain or loss, with free practice questions.
- SIE Prohibited ActivitiesProhibited activities on the SIE exam: insider trading, front running, churning, market manipulation, guarantees, commingling and selling dividends, with practice.
- SIE Bonds BasicsBonds for the SIE exam: par, coupon, price and yield, discount and premium, ratings, corporate, Treasury and municipal bonds, with free practice questions.
- SIE Orders and TradingOrders and trading for the SIE exam: market, limit and stop orders, bid and ask, long and short sales, and regular-way settlement, with free practice questions.
- SIE Equities BasicsEquity securities for the SIE exam: common and preferred stock, voting and dividends, rights and warrants, and ADRs, with free practice questions.
- SIE Packaged Products: Mutual Funds, ETFs, UITs and AnnuitiesPackaged products for the SIE exam: open-end and closed-end funds, ETFs, UITs, variable annuities and 529 plans, how they're priced and sold, with practice.