Transcription of Securities Industry Essentials (SIE) Examination
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Securities Industry Essentials (SIE) Examination
Securities Industry Essentials (SIE). Examination CONTENT OUTLINE. 2021 FINRA. PURPOSE OF THE EXAM. The Securities Industry Essentials (SIE) exam assesses a candidate's basic knowledge of the Securities Industry . The exam focuses on Industry terminology, Securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices. For more information about the SIE, see FINRA Rule STRUCTURE OF THE EXAM. The exam consists of 75 multiple-choice items, and each item consists of four answer choices.
The Investment Company Act of 1940 The Investment Adviser Act of 1940 ... Methods of distribution (e.g., best efforts, firm commitment) • Shelf registrations and distributions (e.g., definition, ... Section 3(a) – Definitions and Application of Title Section 12 — Registration Requirements for Securities Section 15 – Registration and ...
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