SIE Exam Prep
These materials are my attempt to make sense of securities regulations without falling asleep. Fair warning: I add historical context and the occasional observation about why things work the way they do. Turns out knowing the "why" helps the "what" stick better.
7 of 16 Chapters Available
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Chapters
Capital Markets
Primary vs. secondary markets, market participants, and how money flows
Coming SoonEquity Securities
Common stock, preferred stock, ADRs, and why companies issue shares
Coming SoonDebt Securities
Corporate bonds, Treasury securities, and the art of lending money
Coming SoonInvestment Companies
Mutual funds, ETFs, and pooled investments
Coming SoonMunicipal Debt
GO bonds, revenue bonds, and why cities borrow money
Study Now Chapter 5Money Market Instruments
T-bills, commercial paper, repos, and short-term debt
Study Now Chapter 6Packaged Products
Mutual funds, ETFs, REITs, hedge funds, and DPPs
Study Now Chapter 7Trading Markets
Exchanges, OTC markets, brokers, dealers, and dark pools
Study Now Chapter 8Trade Processing and Settlement
Order tickets, clearing, settlement, confirmations, and dividend dates
Study NowCustomer Accounts
Account types, registration, and suitability
Coming SoonIndividual Customer Accounts & Suitability
Account opening, CIP/KYC/AML, Regulation S-P, Reg BI, Form CRS, and senior investor protections
Study Now Chapter 11Margin Accounts
Regulation T, leverage, short selling, and minimum maintenance requirements
Study NowEconomics & Analysis
Economic indicators and fundamental analysis
Coming SoonDirect Participation Programs
Limited partnerships and tax shelters
Coming SoonRetirement Plans
IRAs, 401(k)s, and qualified plans
Study NowRules & Regulations
Compliance, ethics, and keeping your license
Coming SoonOther Securities Products
Everything else you need to know
Coming Soon