Synopsis
UPDATED CONTENT FOR 2021! Your complete guide to passing FINRA's SIE Exam! Created by two securities industry veterans with more than 40 years of combined experience, this comprehensive SIE Exam study guide contains: 19 individual chapters that thoroughly covers all SIE Exam content and corresponds directly to the SIE Exam outline created by FINRA:
* educational, summary figures & tables spread throughout the SIE Exam study guide to help summarize important content;
* end of chapter quizzes with answer explanations that test your knowledge of the SIE prep content covered in each chapter;
* practice exams with answer explanations to help simulate the actual SIE Exam; *links to FINRA's SIE practice exam and content outline;
* sourced content for additional focused review, and
* training videos are available on our YouTube channel.
The SIE Professor course includes a full array of effective text-based reading, end-of-chapter quizzes, supplemental training materials, and practice tests. Put SIE Professor's actionable knowledge and in-depth training to work for you to prepare for the SIE Exam. Content covered in the SIE Exam Study Guide includes regulatory agencies - SEC, FINRA, MSRB, various security types (equity, debt, options, and mutual funds), Initial Public Offerings, business cycle, monetary policy, college savings accounts, investment risks, order and trading strategies, investment returns, corporate actions, dividends, types of accounts, anti-money laundering, privacy rules, communication standards, prohibited activities (insider trading, market manipulation), continuing education, registration requirements, employee conduct, gifts and entertainment, and political contributions.
Choose SIE Professor for your financial securities training and learn from experts who know what you need to succeed.
Why purchase SIE Professor's SIE Exam Study Guide?
* The financial securities industry is competitive. Passing the SIE Exam sets you apart from other candidates and demonstrates your commitment to bring current, relevant, actionable knowledge to your position. Also, it shows you can pass securities industry exams that will be required throughout your career.
* Authors have over 40 years of relevant industry experience. Developed by Eric Field and Ann Griffith, leading financial securities industry experts, SIE Professor is based on a wealth of expertise and remains on the pulse of the financial securities industry. Rules, regulations, tax laws, and industry standards are updated as changes occur.
SIE Professor's founders and program developers have passed numerous FINRA and MSRB licensing exams and incorporated the key components to prepare for and pass complex exams in this results-focused program.
SIE Professor provides what you need to launch your vibrant career in the financial securities industry.
For more information about SIE Professor, visit our website at SIEProfessor.com.
To access our supplementary SIE Exam focused videos, visit our YouTube Channel.
About the Author
Eric Field
Eric has more than 20 years of experience in a broad scope of key roles in the financial services industry. He worked for industry regulator FINRA during his time in the financial services industry where he conducted examinations of member firms. Following FINRA, Eric obtained extensive experience in compliance roles at two broker-dealers, focusing on capital markets, registrations, policies and procedures, and communications.While conducting his broker-dealer work, he interacted with the SEC, FINRA, and MSRB along with other FINRA member firms both during routine regulatory matters and industry conferences as a panelist. More recently, he has taught bachelors- and masters-level college finance courses as an adjunct professor at Carroll University in Waukesha, WI. Along with several securities industry licenses, Eric holds a Master of Science in Finance from Johns Hopkins University and a Bachelor of Science in Business Administration (Finance) from West Virginia University.
Ann Griffith
Ann has more than 20 years of expertise in senior regulatory, compliance and legal counsel roles in the financial services industry. She brings extensive experience in investment advisor, broker-dealer,capital markets, and international regulatory and compliance matters. In addition to her senior roles with the World Bank, FBR Capital Markets, and Credit Suisse First Boston, Ann's extensive experience includes serving as counsel in various positions with FINRA and the SEC. Ann has worked with broker-dealers and investment advisors developing and implementing compliance programs and providing advice on supervisory and registration issues, as well as drafting Written Supervisory Procedures and policies and procedures. In addition to several securities industry licenses, Ann holds a Bachelor of Arts (English Literature) and Juris Doctor degrees from the University of Illinois.
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