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SLAY the SIE--and score that top job!That securities job of your dream looks pretty sweet, but one little thing stands in your way: the Securities Industry Essentials (SIE) exam. The high fail rate for first- and second-time test-takers can be intimidating, but you can avoid it! Pass the exam and get straight to work on the series level top-off exams--and your career. All you need is this handy guide and the practice that comes with it!Securities Industry Essentials Exam For Dummies has you covered in every conceivable way so you can knock out the SIE with no trouble at all--the first time. This book takes you from basic security investments to options and customer care and includes chapter quizzes, in-text and online practice tests, and advice on starting out in the industry.* Take 4 full-length practice tests in the book and online* Prep yourself to the max* Avoid common exam pitfalls* Kickstart your careerIn this field, results are what it's all about, starting now. Passing with a high score vastly increases your chances of getting to the top. Why leave it to chance? Score this book now and score big in the future!
List of contents
Introduction 1Part 1: Getting Started with the SIE Exam 5Chapter 1: Introducing the SIE (Securities Industry Essentials) Exam 7Chapter 2: Preparing for the SIE Exam 19Chapter 3: Examining and Mastering Question Types 31Chapter 4: Surviving Test Day 43Part 2: Mastering Basic Security Investments 49Chapter 5: Underwriting Securities 51Chapter 6: Corporate Ownership: Equity Securities 65Chapter 7: Debt Securities: Corporate and U.S Government Loans 83Chapter 8: Municipal Bonds: Local Government Securities 101Part 3: Delving Deeper: Security Investments with a Twist 123Chapter 9: Delivering Diversification with Packaged Securities 125Chapter 10: Working with Direct Participation Programs and REITs 145Chapter 11: Options: The Right to Buy or Sell at a Fixed Price 157Part 4: Playing Nicely: Serving Your Customers and Following the Rules 181Chapter 12: Serving Your Customers: Customer Accounts 183Chapter 13: Doing a Little Market Research: Securities Analysis 199Chapter 14: Going to Market: Orders and Trades 219Chapter 15: Making Sure the IRS Gets Its Share 233Chapter 16: No Fooling Around: Rules and Regulations 245Part 5: Putting Your Knowledge to Good Use: Practice Exams 281Chapter 17: Bring It On: Practice Exam 1 283Chapter 18: Answers & Explanations to Practice Exam 1 297Chapter 19: Nothing But Net: Practice Exam 2 307Chapter 20: Answers & Explanations to Practice Exam 2 323Part 6: The Part of Tens 335Chapter 21: Ten SIE Exam Traps to Avoid 337Chapter 22: Ten Ways to Start Your Career Off Right 341Index 345
About the author
Steven M. Rice is founding parter and educator at Empire Stockbroker Training Institute, a leading school for securities industry training. Renowned for his upbeat and engaging training style and extensive knowledge of the securities. Rice has co-developed a complete library of training manuals for various Series exams. He is the author of Series 7 Exam For Dummies.
Summary
SLAY the SIE--and score that top job!
That securities job of your dream looks pretty sweet, but one little thing stands in your way: the Securities Industry Essentials (SIE) exam. The high fail rate for first- and second-time test-takers can be intimidating, but you can avoid it! Pass the exam and get straight to work on the series level top-off exams--and your career. All you need is this handy guide and the practice that comes with it!
Securities Industry Essentials Exam For Dummies has you covered in every conceivable way so you can knock out the SIE with no trouble at all--the first time. This book takes you from basic security investments to options and customer care and includes chapter quizzes, in-text and online practice tests, and advice on starting out in the industry.
* Take 4 full-length practice tests in the book and online
* Prep yourself to the max
* Avoid common exam pitfalls
* Kickstart your career
In this field, results are what it's all about, starting now. Passing with a high score vastly increases your chances of getting to the top. Why leave it to chance? Score this book now and score big in the future!
