Wiley Securities Industry Essentials Exam Review 2022

Your proven, go-to roadmap to acing the Securities Industry Essentials (SIE) examThe Securities Industry Essentials (SIE) Exam is a general knowledge FINRA exam for aspiring securities industry professionals. As of October 1, 2018, this representative-level qualification exam is a corequisite to other representative-level qualification exams, including the Series 6, 7, 22, 57, 79, 82, 86/87, and 99--as well as a few other FINRA-administered exams.The Wiley Securities Industry Essentials Exam Review Study Guide 2022 arms you with the knowledge you need to ace the SIE Exam. Designed to let you build and fine-tune your knowledge of all the competencies covered and guarantee that you're prepared mentally and strategically to take the test, the book provides:* Hundreds of illuminating examples* Challenging practice questions* Proven test-taking tips and strategies* Indispensable hints on how to study for the test, manage test anxiety, and stay focusedThe Wiley Securities Industry Essentials Exam Review Study Guide 2022 is your ticket to passing the test with flying colors--on the first try--and taking your first step in a successful new career in the securities industry.For more information, visit efficientlearning.com/securities.

List of contents

Equity and Debt SecuritiesIntroduction to Equity Securities 1Why Do People Buy Stock? 15Dividends, Rights, Warrants, And ADRs 25Introduction to Debt Securities 43Types of Corporate Bonds 55Municipal Bonds 69Government and Government Agency Issues 79The Money Market 93Economics, Corporate Fundamentals, Issuing, and Trading SecuritiesAn Introduction to Economics and Corporate Fundamentals 101Isuing and Offering Corporate Securities 127The Underwriting Syndicate and Exempt Transactions 141Issuing Municipal Securities 161Trading Securities in the Secondary Market 181The Role of Broker Dealers and NASDAQ 189Options, Investment Companies, Variable Annuities, and Retirement PlansOption Basics 209Using Options to Hedge a Position and Exercising Options 227Investment Companies and Mutual Funds 243Mutual Fund Investment Objectives, Valuation, and Sales Charges 253Variable Annuities 273Individual and Corporate Retirement Plans 285Customer Accounts, Client Recommendations, Professional Conduct, and Industry RegulationsCustomer Accounts, UGMAs, Accounts for Employees of Broker Dealers, and Customer Privacy 305Employee Conduct and Reportable Events 331Customer Recommendations, Professional Conduct, and Taxation 343Securities Industry Rules and Regulations 359Registration of Agents and Continuing Education 367Communications with the Public, Dispute Resolution, Insider Trading, SIPC, and AML 377Answer Keys 409

About the author

Wiley empowers learners, researchers, universities, and corporations to achieve their goals in an ever-changing world. For over 200 years, Wiley has been helping people and organizations develop the skills and knowledge they need to succeed. Wiley develops digital education, learning, assessment, and certification solutions to help universities, businesses, and individuals move between education and employment and achieve their ambitions. By partnering with learned societies, we support researchers to communicate discoveries that make a difference. Our online scientific, technical, medical, and scholarly journals, books, and other digital content build on a 200-year heritage of quality publishing.

Summary

Your proven, go-to roadmap to acing the Securities Industry Essentials (SIE) exam

The Securities Industry Essentials (SIE) Exam is a general knowledge FINRA exam for aspiring securities industry professionals. As of October 1, 2018, this representative-level qualification exam is a corequisite to other representative-level qualification exams, including the Series 6, 7, 22, 57, 79, 82, 86/87, and 99--as well as a few other FINRA-administered exams.

The Wiley Securities Industry Essentials Exam Review Study Guide 2022 arms you with the knowledge you need to ace the SIE Exam. Designed to let you build and fine-tune your knowledge of all the competencies covered and guarantee that you're prepared mentally and strategically to take the test, the book provides:
* Hundreds of illuminating examples
* Challenging practice questions
* Proven test-taking tips and strategies
* Indispensable hints on how to study for the test, manage test anxiety, and stay focused

The Wiley Securities Industry Essentials Exam Review Study Guide 2022 is your ticket to passing the test with flying colors--on the first try--and taking your first step in a successful new career in the securities industry.

For more information, visit efficientlearning.com/securities.

Product details

• Authors: Wiley
• Publisher: Wiley, John and Sons Ltd
• Languages: English
• Product format: Paperback / Softback
• Released: 28.02.2022
• EAN: 9781119893394
• ISBN: 978-1-119-89339-4
• No. of pages: 432
• Subjects: Social sciences, law, business > Business > Business administration; Finanzwesen, Allg. Finanz- u. Anlagewesen, Finance & Investments, Finanz- u. Anlagewesen