Transcription of Securities Industry Essentials
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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. Understanding Trading, Customer Accounts and Prohibited Activities (Covered in Chapters 6, 12, 13, 14, 15, and 16) 23 (31% of exam) 4.
The client, prime broker, and all executing brokers will communicate regarding trades placed, settled, etc. All trades settle and clear through the prime broker. SIE On-Demand Learning Guide .
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