BAF-FIN7000 - Security Industry Essentials (SIE) Exam Preparation

Course Description

The Securities Industry Essentials Exam course prepares individuals to take the Securities Industry Essentials Examination. This course covers the recommended outline of topics suggested by FINRA for the Securities Industry Essentials (SIE) exam. Participants work individually on rigorous study materials and meet once a week as a class with the instructor. Students who take this course should be self directed, have the aptitude for this type of content, and consider themselves having a proactive interest in the securities industry by passing the SIE exam.

Course Outline

1. Knowledge of Capital Markets

Regulatory Entities, Agencies, and Market Participants
Market Structures
Economic Factors
Offerings

2. Understanding Products and their Risks

Products
Investment Risks

3. Understanding Trading, customer Accounts, and Prohibited Activities

Trading Settlement and Corporate Actions
Customer Accounts and Compliance Considerations
Prohibited Activities

4. Overview of the Regulatory Framework

SRO Regulatory Requirements for Associated Persons
Employee Conduct and Reportable Events

5. Final Exam Preparation

Learner Outcomes

At the end of this training, students will be prepared to:

1. Take the introductory level Securities Industry Essentials (SIE) exam.
2. Apply basic knowledge and understanding of industry terminology, securities products, structure and function of the markets, various regulatory agencies and their functions, FINRA and MSRB rules, SEC rules and regulations, and regulated and prohibited practices.

Topics include knowledge of capital markets; understanding products and their risks; understanding trading, customer accounts, and prohibited activities; and overview of the regulatory framework.