Understanding Products and Their Risks:这一大块就是一般大家比较想系统学习的知识,比如常见的投资产品,股票、债务、mutual fund、ETF、ETN、期权、muni bond、529、REITs、life insurance、annuity 、税务知识等等。 Understanding Trading, Customer Accounts and Prohibited Activities Overview of Regulatory Framework 学...
(1) Knowledge of Capital Markets 资本市场基础知识 (2) Understanding Products and Their Risks 认识金融产品的种类与风险 (3) Understanding Trading, Customer Accounts and Prohibited Activities 认识交易行为,客户账户种类以及禁止的操作 (4) Overview of Regulatory Framework 了解监管的框架结构 职业去向: SIE考...
Products Investment Risks 3. Understanding Trading, Customer Accounts, and Prohibited Activities (23 scored questions) The questions in this section, which makes up 31% of the exam, assesses your knowledge in three specific areas: Trading, Settlement, and Corporate Actions ...
Types of products and their risks Structure of securities markets Regulatory agencies and their functions Prohibited practices Retake Wait Periods After the first or second time a candidate fails the SIE, there is a mandatory 30 day waiting period before they can take the exam again. After the ...
Types of products and their risks Structure of securities markets Regulatory agencies and their functions Prohibited practices Retake Wait Periods After the first or second time a candidate fails the SIE, there is a mandatory 30 day waiting period before they can take the exam again. After the ...
level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices....
Understanding products and their risks Understanding trading, customer accounts and prohibited activities Overview of the regulatory framework This exam is meant to test you on the basic fundamental rules and regulations of the industry, so be sure to spend time on them because you will see them ...
Topics covered include the various types of products and associated risks, the intricate structure of securities markets, the roles of regulatory agencies, and the identification of prohibited practices. Explore our study packages below. Need help choosing a package? Take a look at our compare ...
and project companies; How to control risks in scale expansion; How to improve the collaborative efficiency between enterprises and planning, construction, banks, and customers; Transforming from extensive management to refined management; The management radius and depth of national and group enterprises ...
The Securities Industry Essentials (SIE) exam is an entry-level assessment that covers products, risks, regulatory agencies, prohibited practices, and markets administered by theFinancial Industry Regulatory Authority (FINRA). The exam has 75 multiple-choice questions, takes an hour and 45 minutes to...