Course
Securities Industry Essentials (SIE)
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Personalized practice Exam · Set a test date 4 units · 42 topics
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Subject resourcesSecurities Industry Essentials (SIE)
Practice 42 skills across this outline.
Weighting distribution
17 categoriesOverview of the Regulatory Framework · Employee Conduct and Reportable Events
18%
Knowledge of Capital Markets · Regulatory Entities, Agencies and Market Participants
9%
Trading, Customer Accounts, and Prohibited Activities · Trading, Settlement and Corporate Actions
9%
Trading, Customer Accounts, and Prohibited Activities · Customer Accounts and Compliance Considerations
9%
Overview of the Regulatory Framework · SRO Regulatory Requirements for Associated Persons
7%
Trading, Customer Accounts, and Prohibited Activities · Prohibited Activities
7%
Skills
The comprehensive taxonomy of securities industry essentials (sie) — drill into a card to work its skills.
Overview of the Regulatory Framework · Employee Conduct and Reportable Events
5 core skills18% total weight
0/5 completed
5 skills to mastery
1
Explain U4 And U5 FilingsRecommended
25 questions 24 flashcards Lesson available
2
Identify Reportable Disciplinary EventsAvailable
25 questions 23 flashcards Lesson available
3
Identify Outside Business ActivitiesAvailable
25 questions 25 flashcards Lesson available
4
Apply Gifts And Contribution RulesAvailable
11 questions 25 flashcards Lesson available
Overview of the Regulatory Framework · SRO Regulatory Requirements for Associated Persons
2 core skills7% total weight
0/2 completed
2 skills to mastery
Understanding Products and Their Risks · Options
2 core skills4% total weight
0/2 completed
2 skills to mastery
Understanding Products and Their Risks · Investment Risks
1 core skills2% total weight
0/1 completed
1 skill to mastery
Understanding Products and Their Risks · Packaged Products
2 core skills4% total weight
0/2 completed
2 skills to mastery
Understanding Products and Their Risks · Direct Participation Programs
1 core skills2% total weight
0/1 completed
1 skill to mastery
Understanding Products and Their Risks · Debt Instruments
3 core skills5% total weight
0/3 completed
3 skills to mastery
1
Compare Debt SecuritiesAvailable
47 questions 25 flashcards Lesson available
2
Interpret Bond Yield RelationshipsAvailable
25 questions 25 flashcards Lesson available
Understanding Products and Their Risks · Equity Securities
2 core skills4% total weight
0/2 completed
2 skills to mastery
Understanding Products and Their Risks · Exchange-traded Products
1 core skills1% total weight
0/1 completed
1 skill to mastery
Understanding Products and Their Risks · Municipal Fund Securities
1 core skills2% total weight
0/1 completed
1 skill to mastery
Knowledge of Capital Markets · Regulatory Entities, Agencies and Market Participants
3 core skills9% total weight
0/3 completed
3 skills to mastery
1
Identify Financial RegulatorsAvailable
49 questions 25 flashcards Lesson available
2
Distinguish Market Participant RolesAvailable
25 questions 25 flashcards Lesson available
Knowledge of Capital Markets · Economic Factors
3 core skills5% total weight
0/3 completed
3 skills to mastery
1
Evaluate Global Economic EffectsAvailable
25 questions 25 flashcards Lesson available
2
Interpret Economic IndicatorsAvailable
24 questions 24 flashcards Lesson available
Knowledge of Capital Markets · Offerings
2 core skills6% total weight
0/2 completed
2 skills to mastery
Knowledge of Capital Markets · Market Structure
2 core skills5% total weight
0/2 completed
2 skills to mastery
Trading, Customer Accounts, and Prohibited Activities · Trading, Settlement and Corporate Actions
5 core skills9% total weight
0/5 completed
5 skills to mastery
1
Evaluate Corporate ActionsAvailable
25 questions 22 flashcards Lesson available
2
Differentiate Order TypesAvailable
48 questions 25 flashcards Lesson available
3
Analyze Position StrategiesAvailable
25 questions 25 flashcards Lesson available
4
Apply Settlement RulesAvailable
22 questions 20 flashcards Lesson available
Trading, Customer Accounts, and Prohibited Activities · Customer Accounts and Compliance Considerations
4 core skills9% total weight
0/4 completed
4 skills to mastery
1
Compare Account TypesAvailable
25 questions 25 flashcards Lesson available
2
Apply Suitability And KYCAvailable
46 questions 25 flashcards Lesson available
3
Apply AML RequirementsAvailable
25 questions 25 flashcards Lesson available
Trading, Customer Accounts, and Prohibited Activities · Prohibited Activities
3 core skills7% total weight
0/3 completed
3 skills to mastery
1
Identify Insider TradingAvailable
26 questions 25 flashcards Lesson available
2
Identify Market ManipulationAvailable
47 questions 23 flashcards Lesson available
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