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Securities Industry Essentials (SIE) · Lessons

Securities Industry Essentials (SIE) lessons

4 sections · 42 skills · work through the full outline skill by skill — read the long-form lesson or flip through the slide-style version.
Long-form lessonsSlide-style lessons

Securities Industry Essentials (SIE)

Practice 42 skills across this outline.

Recommended next
Explain U4 And U5 Filings
Overview of the Regulatory Framework · Employee Conduct and Reportable Events
Long-form lesson
Weighting distribution
17 categories
Overview 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
Long-form
2
Identify Reportable Disciplinary EventsAvailable
Long-form
3
Identify Outside Business ActivitiesAvailable
Long-form
4
Apply Gifts And Contribution RulesAvailable
Long-form
5
Apply Professional Conduct StandardsAvailable
Long-form

Overview of the Regulatory Framework · SRO Regulatory Requirements for Associated Persons

2 core skills7% total weight
0/2 completed
2 skills to mastery
1
Identify CE And DisqualificationAvailable
Long-form
2
Explain Registration RequirementsAvailable
Long-form

Understanding Products and Their Risks · Options

2 core skills4% total weight
0/2 completed
2 skills to mastery
1
Differentiate Option TypesAvailable
Long-form
2
Analyze Option ComponentsAvailable
Long-form

Understanding Products and Their Risks · Investment Risks

1 core skills2% total weight
0/1 completed
1 skill to mastery
1
Identify Investment Risk TypesAvailable
Long-form

Understanding Products and Their Risks · Packaged Products

2 core skills4% total weight
0/2 completed
2 skills to mastery
1
Compare Investment CompaniesAvailable
Long-form
2
Evaluate Fund Fees And NAVAvailable
Long-form

Understanding Products and Their Risks · Direct Participation Programs

1 core skills2% total weight
0/1 completed
1 skill to mastery
1
Identify Alternative Investment CharacteristicsAvailable
Long-form

Understanding Products and Their Risks · Debt Instruments

3 core skills5% total weight
0/3 completed
3 skills to mastery
1
Compare Debt SecuritiesAvailable
Long-form
2
Interpret Bond Yield RelationshipsAvailable
Long-form
3
Evaluate Bond Risk FeaturesAvailable
Long-form

Understanding Products and Their Risks · Equity Securities

2 core skills4% total weight
0/2 completed
2 skills to mastery
1
Evaluate Equity FeaturesAvailable
Long-form
2
Differentiate Equity SecuritiesAvailable
Long-form

Understanding Products and Their Risks · Exchange-traded Products

1 core skills1% total weight
0/1 completed
1 skill to mastery
1
Compare Exchange Traded ProductsAvailable
Long-form

Understanding Products and Their Risks · Municipal Fund Securities

1 core skills2% total weight
0/1 completed
1 skill to mastery
1
Distinguish Municipal Fund SecuritiesAvailable
Long-form

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
Long-form
2
Distinguish Market Participant RolesAvailable
Long-form
3
Explain SEC And SRO RolesAvailable
Long-form

Knowledge of Capital Markets · Economic Factors

3 core skills5% total weight
0/3 completed
3 skills to mastery
1
Evaluate Global Economic EffectsAvailable
Long-form
2
Interpret Economic IndicatorsAvailable
Long-form
3
Analyze Monetary Policy ImpactAvailable
Long-form

Knowledge of Capital Markets · Offerings

2 core skills6% total weight
0/2 completed
2 skills to mastery
1
Identify Registration RequirementsAvailable
Long-form
2
Differentiate Offering TypesAvailable
Long-form

Knowledge of Capital Markets · Market Structure

2 core skills5% total weight
0/2 completed
2 skills to mastery
1
Explain Securities DistributionAvailable
Long-form
2
Differentiate Market TypesAvailable
Long-form

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
Long-form
2
Differentiate Order TypesAvailable
Long-form
3
Analyze Position StrategiesAvailable
Long-form
4
Apply Settlement RulesAvailable
Long-form
5
Interpret Investment ReturnsAvailable
Long-form

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
Long-form
2
Apply Suitability And KYCAvailable
Long-form
3
Apply AML RequirementsAvailable
Long-form
4
Apply Recordkeeping And PrivacyAvailable
Long-form

Trading, Customer Accounts, and Prohibited Activities · Prohibited Activities

3 core skills7% total weight
0/3 completed
3 skills to mastery
1
Identify Insider TradingAvailable
Long-form
2
Identify Market ManipulationAvailable
Long-form
3
Identify Prohibited ActivitiesAvailable
Long-form