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Securities Industry Essentials (Sie) Test Prep Course

Posted By: ELK1nG
Securities Industry Essentials (Sie) Test Prep Course

Securities Industry Essentials (Sie) Test Prep Course
Last updated 5/2020
MP4 | Video: h264, 1280x720 | Audio: AAC, 44.1 KHz
Language: English | Size: 3.12 GB | Duration: 12h 36m

You can view this course as a realistic alternative to paying for hours of tutoring and study at your own phase!

What you'll learn
ALL Securities Industry Essentials (SIE) exam topics
Equity and Debt Securities
Securities Act of 1933 and 1934
Capital Markets
Basics of Options Contracts
Industry Regulatory Framework
Other Securities Products and their Risks
Customer Accounts and Prohibited Activities
Business of the Broker-Dealer
Verifying Customer Purchases and Sales Instructions
Requirements
No particular prior financial education required. This course covers all the "essentials" of the financial industry.
Description
This course prepares you to pass the Securities Industry (SIE) exam that will be required as of October 1, 2018 by FINRA for anyone who is interested in entering the financial services industry.You can view this course as realistic alternative to paying for hours of tutoring and allows you to pause, rewind, and/or repeat concepts as needed. PLUS, you'll have access to realistic practice questions, final exam and step-by-step demonstrations of how to approach and answer those questions accurately and efficiently.As a bonus you''ll be able to download cheat sheets in PDF format, that cover the most important concepts you must know for the exam.Warning: This is an intensive course with 12+ hours of video lecturesSecurities Industry Essentials (SIE)  Prep Course Outline:Section 1. Conducting Yourself as a Financial Services ProfessionalSection 2. Equity, Debt and Other Investment ProductsSection 3. Investment Companies, Private Equity and Structured ProductsSection 4. Capital Markets, Issuing Securities and Trading on Customer Accounts4 Practice Quizzes. 20-40 questions eachFinal Exam. Test with 85 questionsBonus: Tips & Tricks before the Exam day***Course includes 4 Sections, 4 Section Quizzes and a Final Exam(85 questions)***

Overview

Section 1: Course Introduction

Lecture 1 Course Introduction

Section 2: Section 1: Conducting Yourself as a Financial Services Professional

Lecture 2 SIE Exam Overview

Lecture 3 Section 1: Introduction Video

Section 3: Section 1 Module 1: Getting to know the world of the Financial Services Industry

Lecture 4 Introduction

Lecture 5 Goals

Lecture 6 Lesson 1: Scope of knowledge required to pass the exam

Lecture 7 Lesson 2: Registration and continuing education

Lecture 8 Lesson 3: Market participants and their roles

Lecture 9 Key Takeaways

Lecture 10 Questions

Section 4: Section 1 Module 2: Communications with the public

Lecture 11 Introduction

Lecture 12 Goals

Lecture 13 Lesson 1: Required Disclosures and outside business activities

Lecture 14 Lesson 2: Communications that must be reported to a Principal

Lecture 15 Lesson 3: The Do not Call Registry

Lecture 16 Questions

Lecture 17 Lesson 4: Gifts and Compensation

Lecture 18 Lesson 5: Political Contributions

Lecture 19 Questions

Lecture 20 Lesson 6: Major Acts and Rules

Lecture 21 Lesson 7: The Securities Act of 1933 and the Securities Act of 1934

Lecture 22 Questions

Lecture 23 Key Takeaways

Section 5: Section 1 Module 3: Factors effecting securities Markets

Lecture 24 Introduction

Lecture 25 Goals

Lecture 26 Lesson 1: Role of the FED

Lecture 27 Questions

Lecture 28 Lesson 2: Economic Fundamentals

Lecture 29 Questions

Lecture 30 Lesson 3: Business Cycles - Fundamental Analysis

Lecture 31 Lesson 4: International Economic factors on the securities markets

Lecture 32 Questions

Lecture 33 Key Takeaways

Section 6: Section 1 Module 4: Professional Conduct & Ethical Consideration

Lecture 34 Introduction

Lecture 35 Goals

Lecture 36 Lesson 1: Suspended and Revoked Registrations

Lecture 37 Lesson 2: Personal Investment Accounts

Lecture 38 Lesson 3: Information Security

Lecture 39 Lesson 4: Handling Complaints

Lecture 40 Questions

Lecture 41 Lesson 5: Regulating Authorities

Lecture 42 Questions

Lecture 43 Lesson 6: Trading Markets

Lecture 44 Key Takeaways

Section 7: Section 1 Module 5: Requirements for Opening Customer Accounts

Lecture 45 Introduction

Lecture 46 Goals

Lecture 47 Lesson 1: New Client_ New Account Form

Lecture 48 Lesson 2: Verifying Records

Lecture 49 Lesson 3: Special Procedures for opening Accounts of Broker-Dealer Employees

Lecture 50 Key Takeaways

Section 8: Section 1 Module 6: Choosing between different types of customer accounts

Lecture 51 Introduction

Lecture 52 Goals

Lecture 53 Lesson 1: Account Ownership

Lecture 54 Lesson 2: Account Authorizations

Lecture 55 Lesson 3: Discretionary VS Non-Discretionary Accounts

Lecture 56 Questions

Lecture 57 Key Takeaways

Section 9: Section 1 Module 7: Firm Authorizations & Combatting Illegal Activities

Lecture 58 Introduction

Lecture 59 Goals

Lecture 60 Lesson 1: The Principal sees almost everything

Lecture 61 Lesson 2: Anti-Money Laundering Compliance

Lecture 62 Lesson 3: Preventing Identity Theft_ Privacy regulation S-P

Lecture 63 Key Takeaways

Section 10: Section 1 Module 8: Cash, Margin and Options accounts

Lecture 64 Introduction

Lecture 65 Goals

Lecture 66 Lesson 1: Cash accounts

Lecture 67 Lesson 2: Opening a margin account

Lecture 68 Lesson 3: Options Account Basics

Lecture 69 Lesson 4: Accounts recap

Lecture 70 Key Takeaways

Section 11: Section 1 Module 9: Knowledge Associated with Maintaining Customer Accounts

Lecture 71 Introduction

Lecture 72 Goals

Lecture 73 Lesson 1: Customer Account Record and Books

Lecture 74 Lesson 2: Physical Receipt Delivery & Safeguarding of Monies

Lecture 75 Lesson 3: Services, Fees & Restrictions

Lecture 76 Lesson 4: General Suitability Requirements

Lecture 77 Lesson 5: Investment Risks

Lecture 78 Key Takeaways

Section 12: Section 1 Module 10: Clients objectives and Suitability

Lecture 79 Introduction

Lecture 80 Goals

Lecture 81 Lesson 1: Portfolio Theory

Lecture 82 Lesson 2: Active VS Passive management

Lecture 83 Lesson 3: ‘Oops, The Broker-Dealer is Bankrupt’. Investor Protections

Lecture 84 Key Takeaways

Section 13: Section 1 Module 11: Prohibited Activities

Lecture 85 Introduction

Lecture 86 Goals

Lecture 87 Lesson 1: Top Prohibited Activities to Know for the Exam

Lecture 88 Lesson 2: Other Prohibited Activities

Lecture 89 Key Takeaways

Section 14: QUIZ: Test Your Knowledge

Section 15: Section 2: Equity, Debt and Other Investment Products

Lecture 90 Section 2 Introduction Video

Section 16: Section 2 Module 1: Introduction to Equity Securities

Lecture 91 Introduction

Lecture 92 Goals

Lecture 93 Lesson 1: What are Equities?

Lecture 94 Lesson 2: Finra Suitability Criteria for Equity Securities

Lecture 95 Lesson 3: What do investors get from buying a stock

Lecture 96 Lesson 4: Why Stock Splits happen

Lecture 97 Lesson 5: Dividend & EPS Calculations

Lecture 98 Additional Material - Diving Deeper into Stocks (stock, sectors etc.)

Lecture 99 Key Takeaways

Section 17: Section 2 Module 2: Going Public: The Initial Public Offering

Lecture 100 Introduction

Lecture 101 Goals

Lecture 102 Lesson 1: IPO Regulation

Lecture 103 Lesson 2: Share categories

Lecture 104 Lesson 3: How share Prices are set

Lecture 105 Key Takeaways

Section 18: Section 2 Module 3: Preferred Stocks and other equity securities

Lecture 106 Introduction

Lecture 107 Goals

Lecture 108 Lesson 1: Preferred Stock

Lecture 109 Lesson 2: Types of Preferred Stock

Lecture 110 Lesson 3: Derivatives Summary, Rights, Warrants, Options

Lecture 111 Lesson 4: Rights, Warrants and ADRs

Lecture 112 Lesson 5: EURODOLLAR DEPOSITS, EUROBONDS, and EURODOLLAR BONDS

Lecture 113 Key Takeaways

Section 19: Section 2 Module 3.1: Options Contracts and Derivatives

Lecture 114 Introduction

Lecture 115 Goals

Lecture 116 Lesson 3.1: What`s a derivative

Lecture 117 Lesson 3.2: Understanding options framework

Lecture 118 Lesson 3.3: All about the money: All, Out, At

Lecture 119 Lesson 3.4: The long and short of it

Lecture 120 Lesson 3.5: Index Options, Settlement procedures, covered/uncovered positions

Lecture 121 Key Takeaways

Section 20: Section 2 Module 4: REITs

Lecture 122 Introduction

Lecture 123 Goals

Lecture 124 Lesson 1: Introduction to REITs

Lecture 125 Lesson 2: REITs advantages

Lecture 126 Lesson 3: Dividends & taxes for REITs

Lecture 127 Key Takeaways

Section 21: Section 2 Module 5: DPPs

Lecture 128 Introduction

Lecture 129 Goals

Lecture 130 Lesson 1: Need to Know Facts for the Exam

Lecture 131 Lesson 2: Suitability

Lecture 132 Lesson 3: Advantages and Risks of DPP`s

Lecture 133 Lesson 4: REITs VS DPPs

Lecture 134 Key Takeaways

Section 22: Section 2 Module 6: Basics of Debt Securities

Lecture 135 Introduction

Lecture 136 Goals

Lecture 137 Lesson 1: Debt Securities definition

Lecture 138 Lesson 2: Debt Issuers

Lecture 139 Lesson 3: Debt Securities Terminology

Lecture 140 Lesson 4: Credit ratings

Lecture 141 Lesson 5: Long and Short term Maturities

Lecture 142 Questions

Lecture 143 Lesson 6: Relationship Between Bond Market price and Yields

Lecture 144 Lesson 7: Call me if you need me. Callable Bonds

Lecture 145 Lesson 8: Corporate Bond Summary

Lecture 146 Key Takeaways

Section 23: Section 2 Module 7: Government Debt Securities. Treasuries.

Lecture 147 Introduction

Lecture 148 Goals

Lecture 149 Lesson 1: The Basics

Lecture 150 Lesson 2: T-Notes and T-Bonds

Lecture 151 Lesson 3: Treasury Bills. Money market Securities

Lecture 152 Lesson 4: Government Debt securities: Risks and Investment Purposes

Lecture 153 Lesson 5: Something else to remember: Repos & Auctions

Lecture 154 Key Takeaways

Section 24: Section 2 Module 8: Municipal Debt Securities

Lecture 155 Introduction

Lecture 156 Goals

Lecture 157 Lesson 1: Introduction to municipal debt

Lecture 158 Lesson 2: Types of Municipal securities

Lecture 159 Lesson 3: Who are the purchasers of muni bonds?

Lecture 160 Lesson 4: Municipal Trading

Lecture 161 Lesson 5: MSRB Regulations

Lecture 162 Key Takeaways

Section 25: Section 2 Module 9: U.S. Government Backed Securities

Lecture 163 Introduction

Lecture 164 Goals

Lecture 165 Lesson 1: U.S. Government Agency Securities

Lecture 166 Lesson 2: The CMO or much ADO about 2 questions

Lecture 167 Key Takeaways

Section 26: Section 2 Module 10: The Money Market

Lecture 168 Introduction

Lecture 169 Goals

Lecture 170 Lesson 1: What is the Money Market?

Lecture 171 Questions

Lecture 172 Key Takeaways

Section 27: QUIZ: Test Your Knowledge

Section 28: Section 3 : Investment Companies, Private Equity and Structured Products

Lecture 173 Section 3 Introduction

Section 29: Section 3 Module 1: Investment companies

Lecture 174 Introduction

Lecture 175 Goals

Lecture 176 Lesson 1: Where it all began

Lecture 177 Lesson 2: Closed-end Funds

Lecture 178 Lesson 3: Open-end Funds

Lecture 179 Lesson 4: Registration with the SEC

Lecture 180 Lesson 5: Day-to-day management

Lecture 181 Lesson 6: Comparing Mutual Funds

Lecture 182 Lesson 7: Computing Sales charges

Lecture 183 Lesson 8: Reductions in sales charges

Lecture 184 Key Takeaways

Section 30: Section 3 Module 2: Private Equity & Structured Products

Lecture 185 Introduction

Lecture 186 Goals

Lecture 187 Lesson 1: Index Tracking Funds

Lecture 188 Lesson 2: Other Packaged Products

Lecture 189 Lesson 3: For the sophisticated only

Lecture 190 Key Takeaways

Section 31: Section 3 Module 3: Retirement Plans & College Savings Plans

Lecture 191 Introduction

Lecture 192 Goals

Lecture 193 Lesson 1: Employee retirement income Security Act

Lecture 194 Lesson 2: Retirement Plans. Qualified VS non-qualified

Lecture 195 Lesson 3: Individual Retirement accounts

Lecture 196 Lesson 4: Withdrawing and taxation

Lecture 197 Lesson 5: Educational Savings Accounts

Lecture 198 Key Takeaways

Section 32: Section 3 Module 4: Variable Insurance Products

Lecture 199 Introduction

Lecture 200 Goals

Lecture 201 Lesson 1: Annuity Basics

Lecture 202 Lesson 2: Variable Annuity VS Mutual Fund

Lecture 203 Lesson 3: Immediate VS Deferred

Lecture 204 Lesson 4: Accumulation & Annuity Phases

Lecture 205 Lesson 5: Assumed Interest Rate

Lecture 206 Lesson 6: Payout Options

Lecture 207 Lesson 7: Variable life insurance Products

Lecture 208 Lesson 8: Fees & Charges

Lecture 209 Lesson 9: Taxation

Lecture 210 Key Takeaways

Section 33: QUIZ: Test Your Knowledge

Section 34: Section 4: Capital Markets, Issuing Securities and Trading on Customer Accounts

Lecture 211 Section 4 introduction

Section 35: Section 4 Module 1: Primary Market

Lecture 212 Introduction

Lecture 213 Goals

Lecture 214 Lesson 1: History of the Legislation

Lecture 215 Lesson 2: Registration

Lecture 216 Lesson 3: The Underwriting Process: Bids & Offers

Lecture 217 Lesson 4: The underwriting process & the underwriters

Lecture 218 Lesson 5: Exemptions

Lecture 219 Key Takeaways

Section 36: Section 4 Module 2: Secondary Market

Lecture 220 Introduction

Lecture 221 Goals

Lecture 222 Lesson 1: The Securities Exchange Act of 1934

Lecture 223 Lesson 2: Exchanges & OTC

Lecture 224 Lesson 3: The 3rd and the 4th markets

Lecture 225 Lesson 4: Role of a Broker-Dealer

Lecture 226 Key Takeaways

Section 37: Section 4 Module 3: Procedures for purchases of sales.

Lecture 227 Introduction

Lecture 228 Goals

Lecture 229 Lesson 1: Types of positions

Lecture 230 Lesson 2: Capacity of Broker-Dealer

Lecture 231 Lesson 3: Bids, Offers & Quotes

Lecture 232 Lesson 4: Transaction & Trade Settlement

Lecture 233 Lesson 5: Interaction with the customer

Lecture 234 Lesson 6: Customer Order Types

Lecture 235 Key Takeaways

Section 38: Section 4: Additional Material - Taxation

Lecture 236 Lesson 1: Tax system

Lecture 237 Lesson 2: To tax or not to tax?

Lecture 238 Final Note: Tips & Tricks

Section 39: QUIZ: Test Your Knowledge

Section 40: Final Exam (85 questions)

Anyone who wants to take the FINRA's SIE exam,Curious about the "essentials" of the financial industry sector,Students,People that want to enter financial industry