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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.

I. The clearing firm must maintain all client information for a fully disclosed account II. Specific client information is held by the clearing firm in an omnibus account III. The executing firms are subject to counterparty risk when clearing trades through the DTCC IV. The Options Clearing Corporation only works with broker-dealers

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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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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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