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Securities Industry Essentials Exam For Dummies with Online Practice

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Get ready to qualify for the security industry job of your dreams The Securities Industry Essentials (SIE) Exam is a new test admi... Weiterlesen
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Beschreibung

Get ready to qualify for the security industry job of your dreams

The Securities Industry Essentials (SIE) Exam is a new test administered by FINRA beginning in October 2018. This exam is required as a prerequisite to each series level knowledge exam (such as Series 7). If you're prepping for the exam, you need a trusted resource to ensure your very best performance.

Securities Industry Essentials Exam For Dummies with Online Practice gives you everything you need to score high on this important exam. With two practice tests in the book, plus two bonus tests online, you can practice your way to a calm and confident experience on exam day.

  • Take 4 full-length practice tests with answers and full explanations
  • Get 1-year access to practice and tests online 
  • Find strategies and tips for breaking into the securities industry
  • Increase your chances of scoring higher

SIE scores are expected to be a critical factor in determining qualification to enter the securities industry, so the stakes are high. With the help of this book, you'll up your chances of breaking into this field and landing your dream job.



Steven M. Rice, founding partner and educator at Empire Stockbroker Training Institute, is the author of Series 7 Exam For Dummies. Rice also co-developed a complete library of securities training manuals for the Series 4, Series 6, Series 7, Series 24, Series 63, Series 65, and Series 66 exams.

Autorentext

Steven M. Rice, founding partner and educator at Empire Stockbroker Training Institute, is the author of Series 7 Exam For Dummies. Rice also co-developed a complete library of securities training manuals for the Series 4, Series 6, Series 7, Series 24, Series 63, Series 65, and Series 66 exams.

Klappentext

Full-length, online practice TESTS

Go online to find four full-length SIE practice tests with complete answer explanations and walkthroughs

The only book you need to master the SIE™ exam

You're on your way to a lucrative career in the securities field, but one thing stands in your way: the Securities Industry Essentials exam. Securities Industry Essentials Exam For Dummies with Online Practice contains everything you need to score well on the exam and launch your career with confidence, including two practice tests in the book, plus two bonus tests online.

Inside...

  • Understand the question types
  • Review key concepts
  • Learn test-taking tips
  • Schedule your exam
  • Manage your study time
  • Memorize rules and regulations
  • Take complete practice tests
  • Avoid exam-day mistakes


Zusammenfassung

Get ready to qualify for the security industry job of your dreams

The Securities Industry Essentials (SIE) Exam is a new test administered by FINRA beginning in October 2018. This exam is required as a prerequisite to each series level knowledge exam (such as Series 7). If you're prepping for the exam, you need a trusted resource to ensure your very best performance.

Securities Industry Essentials Exam For Dummies with Online Practice gives you everything you need to score high on this important exam. With two practice tests in the book, plus two bonus tests online, you can practice your way to a calm and confident experience on exam day.

  • Take 4 full-length practice tests with answers and full explanations
  • Get 1-year access to practice and tests online
  • Find strategies and tips for breaking into the securities industry
  • Increase your chances of scoring higher

SIE scores are expected to be a critical factor in determining qualification to enter the securities industry, so the stakes are high. With the help of this book, you'll up your chances of breaking into this field and landing your dream job.



Inhalt

Introduction 1

About This Book 1

Foolish Assumptions 2

Icons Used in This Book 2

Beyond the Book 2

Where to Go from Here 3

Part 1: Getting Started with the SIE Exam 5

Chapter 1: Introducing the SIE (Securities Industry Essentials) Exam 7

What Is the SIE Exam, Anyway? 7

Profiling the SIE Exam-Taker 8

One's Not Enough: Tackling the Co-Requisite Exams 8

Series 6: Investment Company and Variable Products Representative Exam 9

Series 7: General Securities Representative Exam 9

Series 22: DPP Representative Exam 9

Series 57: Securities Trader Exam 9

Series 79: Investment Banking Representative Exam 9

Series 82: Private Securities Offerings Representative Exam 9

Series 7 + Series 86 + Series 87: Research Analyst Exam 10

Series 99: Operations Professional Exam 10

Signing Up 10

Filling out an application to enroll 10

It's a date! Scheduling your exam 10

Planning ahead for special accommodations 11

Just in case: Cancelling as an option 12

Taking a Peek at the Tested Topics 12

Understanding the Exam Format and Other Exam Details 14

Reviewing the exam basics 14

Practicing on ten additional trial questions 14

Mastering the computerized format and features 14

Instant gratification: Receiving and evaluating your score 16

Chapter 2: Preparing for the SIE Exam 19

Courses and Training Materials: Determining the Best Way to Study 19

Back to school: Attending a prep course 19

Selecting prep material to study on your own 21

Managing Your Study Time Wisely 22

Blocking out some time to study 23

It's a plan: Getting into a study routine 23

Give it a rest: Taking short breaks 24

Staying focused from day to day 24

Devoting time to practice tests 25

Avoiding study groups 25

Staying in shape 25

Exploring Study Strategies 26

Developing Solid Test-Taking Skills 26

Read the question carefully 27

Look for phrases that lead to the topic tested 27

Work with what you have 27

Don't obsess; mark for review 27

Keep track of time 27

Master the process of elimination 28

Maintain your concentration 28

Think carefully before changing your answers 29

Use the scrap paper wisely 29

Knowing When You're Ready 29

Chapter 3: Examining and Mastering Question Types 31

Familiarizing Yourself with Question Formats 31

Working with the straight shooters: The straightforward types 32

Encountering quirky questions with qualifiers 33

Roman hell: Complex multiple choice 34

Looking at exhibits: Diagram questions 36

Shredding the Questions: Tips and Tricks 38

Focusing on key information 38

Answer me this: Picking the correct answer 39

Don't make the same mistake twice 41

Chapter 4: Surviving Test Day 43

Composing Yourself the Day Before 43

Making the Most of the Morning 44

Arriving on the Scene 45

Taking advantage of one last chance to cram 45

Signing in 45

Getting seated 45

Tackling the SIE 46

Getting the Results: Drum Roll, Please 47

Part 2: Mastering Basic Security Investments 49

Chapter 5: Underwriting Securities 51

Bringing New Issues to the Market 51

Starting out: What the issuer does 51

Role call: Introducing the team players 54

Getting the skinny on the issue and issuer: The prospectus 56

Counting the securities along the way 57

Getting Up to Speed on the Types of Securities Offerings 57

Reviewing Exemptions 58

Exempt securities 58

Exempt transactions 59

Chapter 6: Corporate Ownership: Equity Securities 61

Beginning with the Basics: Common Stock 61

Understanding a stockholder's voting rights 62

Categorizing shares corporations can sell 63

Considering the par value of common stock 64

Corporate actions 64

Splitting common stock 65

Sharing corporate profits through dividends 66

Getting Preferential Treatment: Preferred Stock 68

Considering characteristics of preferred stock 68

Getting familiar with types of preferred stock 69

Securities with a Twist 71

Opening national borders: ADRs 71

Rights: The right to buy new shares at a discount 71

Warrants: The right to buy stock at a fixed price 72

Chapter 7: Debt Securities: Corporate and US Government Loans 73

Tackling Bond Terms, Types, and Traits 73

Remembering bond terminology 73

Following bond issue and maturity schedules 75

Comparing secured and unsecured bonds 75...

Produktinformationen

Titel: Securities Industry Essentials Exam For Dummies with Online Practice
Autor:
EAN: 9781119545019
Digitaler Kopierschutz: Adobe-DRM
Format: E-Book (pdf)
Hersteller: For Dummies
Genre: Sonstiges Schule und Lernen
Anzahl Seiten: 320
Veröffentlichung: 11.12.2018
Dateigrösse: 9.9 MB