Course Content
Introduction
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Learning Objectives
Course Outline
About the Exam
Module 1: Introduction to Capital Markets
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Overview of Capital Markets
Market Participants
Market Structures
Economic Factors
Types of Markets and Offerings
Module 2: Understanding Securities and Risks
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Equity Securities
Debt Instruments
Options and Packaged Products
Investment Risks
Module 3: Securities Offerings
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Types of Securities Offerings
Offering Documents and Regulations
Module 4: Trading and Settlement
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Trading Orders and Strategies
Settlement Processes
Investment Returns
Module 5: Customer Accounts and Compliance
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Types of Customer Accounts
Compliance and Anti-Money Laundering
Module 6: Regulatory Framework
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Registration and Continuing Education
Employee Conduct and Reportable Events
Module 7: Prohibited Activities and Ethical Standards
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Market Manipulation and Insider Trading
Other Prohibited Activities
Module 8: Review and Exam Preparation
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Comprehensive Review of Key Concepts
Exam Strategies and Tips
Appendices
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Appendix A: Glossary of Key Terms
Appendix B: Acronyms
Appendix C: Key Formulas and Calculations
Appendix D: Key Regulatory Entities and Legislation
Appendix E: Additional Resources and References
FINRA’s SIE exam prep
About Lesson

Learning Objectives for FINRA SIE Exam Prep Course

  1. Understand Regulatory Entities and Market Participants

    • Identify the role and purpose of regulatory entities such as the SEC, SROs, and other agencies.
    • Recognize the functions and authority of different market participants, including investors, brokers, and advisors.

  2. Comprehend Market Structures and Economic Factors

    • Distinguish between different types of markets and their characteristics.
    • Explain the impact of Federal Reserve policies and economic indicators on the securities market.

  3. Understand Securities Offerings and Regulations

    • Differentiate between public and private securities offerings and understand regulatory requirements.
    • Identify various offering documents and their purposes, including registration statements and prospectuses.

  4. Recognize Different Securities Products and Their Risks

    • Describe equity and debt securities, options, and other investment products.
    • Understand the risks associated with various securities, including market, credit, and liquidity risks.

  5. Knowledge of Trading, Customer Accounts, and Compliance

    • Understand different types of trading orders and the trade settlement process.
    • Recognize the requirements for maintaining customer accounts and compliance with anti-money laundering regulations.

  6. Comprehend Regulatory Framework and Employee Conduct

    • Understand the registration requirements for industry participants and the consequences of misconduct.
    • Identify reportable events and the impact of regulatory requirements on employee conduct.

  7. Apply Rules and Regulations

    • Familiarize with crucial FINRA, SEC, and MSRB rules relevant to the securities industry.
    • Understand prohibited activities, including market manipulation and insider trading, and the associated penalties.
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