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Section 1
Understand the role and scope of the SIE exam
Preview
Preview: Knowledge of Capital Markets
Preview includes- 2 of 2 lesson topics
- 1 overview segment
- 3 core concepts
- 2 exam tips
Lesson Topics
- SIE Exam Overview
- SIE Scope and Limitations
Overview
The SIE exam assesses basic securities industry knowledge.
Core Concepts
- The SIE is an introductory exam.
- Registration requirements extend beyond passing the SIE.
- FINRA defines the SIE's scope as basic industry knowledge.
Exam Tips
- Distinguish the SIE's scope and limitations.
- Check the content allocation.
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Section 2
Distinguish primary and secondary market activity
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Section 3
Identify characteristics of common stock
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Section 4
Identify characteristics of bonds
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Section 5
Apply interest-rate risk to fixed-income securities
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Section 6
Apply mutual fund pricing and redemption rules
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Section 7
Choose an order type based on execution and price constraints
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Section 8
Distinguish market and limit order risks
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Section 9
Distinguish stop and stop-limit order mechanics
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Section 10
Apply customer identification program requirements
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Section 11
Apply Regulation Best Interest to retail recommendations
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Section 12
Distinguish SIPC protection from market-risk protection
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Section 13
Distinguish mutual funds from secondary-market securities
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Section 14
Apply bond maturity and secondary-market risk
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Section 15
Use the SIE content outline to prioritize study areas
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Section 16
Apply sell-stop order mechanics
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Section 17
Identify information collected under CIP
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Section 18
Apply SIPC protection limits
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Section 19
Distinguish equity and debt claims
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Section 20
Recognize the SIE exam's market and regulatory scope
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Section 21
Choose between stop and limit orders under customer constraints
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Section 22
Apply diversification and pooled-investment concepts
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Section 23
Identify customer profile factors under Reg BI care obligation
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Section 24
Distinguish firm failure protection from investment suitability or performance
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Section 25
Recognize SIE section weighting across domains
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Section 26
market order execution risk
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Section 27
limit order price control
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Section 28
Federal law
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Section 29
bond characteristics and interest-rate risk
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Section 30
limit order price control
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Section 31
Customer Identification Program
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Section 32
Regulation Best Interest
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Section 33
The content outline
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Section 34
mutual fund pricing and redemption
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Section 35
retail customer recommendations
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Section 36
best interest obligation
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Section 37
common stock ownership
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Section 38
A secondary market
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Section 39
capital markets
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Section 40
SIPC customer protection
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Section 41
The protection limit
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Section 42
SEC EDGAR filings
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Section 43
Product risks, trading, customer accounts, and prohibited activities
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Section 44
common stock ownership
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Section 45
prohibited activities
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Section 46
Market and limit order execution
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Section 47
Regulation Best Interest recommendations
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Section 48
Customer account types and authority
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Section 49
Material nonpublic information and tipping
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Section 50
Stop and stop-limit order behavior
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Section 51
T+1 settlement and delivery
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Section 52
Federal Reserve and monetary policy
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Section 53
Form U4 registration and disclosure
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Section 54
Form U5 termination obligations
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Section 55
Market structure and issuance
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Section 56
Outside business activities
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Section 57
Private securities transactions
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Section 58
Regulators and market participants
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Section 59
AML program and suspicious-activity controls
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Section 60
Regulatory Element continuing education
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Section 61
Customer records, complaints, and communications
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Section 62
Bond price and interest-rate risk
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Section 63
Common-stock ownership and rights
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Section 64
Debt security issuer relationship
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Section 65
Mutual-fund pricing and redemption
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Section 66
Gifts and gratuities
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Section 67
Options risk and purpose
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Section 68
SIPC protection boundary
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