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Securities Industry Essentials

Learning GuideSecurities Industry EssentialsSIEv10 SIE On-Demand Learning Guide 1 How to Use This Learning Guide As the instructor presents the material through the On-Demand lecture, use this Learning Guide to take notes, answer questions, and complete activities. Once the On-Demand program is complete , this Learning Guide can be used as an ongoing resource. Breakdown of the SIE Exam 75 multiple choice questions plus 10 unscored items (85 total) 1 hour and 45 minutes to complete the SIE Examination Minimum required passing score is 70% Function # of Questions 1. Knowledge of Capital Markets (Covered in Chapters 1, 2, 11, and 19) 12 (16% of exam) 2. Understanding Products and their Risks (Covered in Chapters 3, 4, 5, 7, 8, 9, 10, and 20) 33 (44% of exam) 3.

questions, and complete activities. Once the On-Demand program is complete, this Learning Guide can be used as an ongoing resource. Breakdown of the SIE Exam 75 multiple choice questions plus 10 unscored items (85 total) 1 hour and 45 minutes to complete the SIE Examination Minimum required passing score is 70% Function # of Questions 1.

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Securities Industry Essentials

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investors (e.g., banks, IAs, investment companies), FINRA’s suitability rules apply. Titles . Under Reg BI, unless a broker-dealer is also a registered investment adviser (i.e., the firm is dually registered as a broker-dealer and an adviser), the SEC has stated that it’s a violation of the disclosure obligation to use either the term

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General Securities Representative Qualification

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The Crunch Time Facts are a collection of statements that we beeil ve are valuable as you engage in the fnali preparatoi n to sti for your examnati oi n. These facts are not desgnei d to raise questoi ns ; instead, they are to

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