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Browse FINRA Securities Industry Essentials® (SIE®) Exam
Glossary of Key Terms for SIE Exam
Introduction
Securities Industry Essentials Exam Guide
Overview of the SIE Exam
Part I: Knowledge of Capital Markets
Chapter 1: Regulatory Entities, Agencies, and Market Participants
The Securities and Exchange Commission
SROs' Purpose and Authority in the Securities Industry
Other Regulators and Agencies
Market Participants and Their Roles
Investors
Broker-Dealers: Key Market Participants
Investment Advisers
Municipal Advisors
Traders and Market Makers
Custodians and Trustees
Transfer Agents: Essential Role in Securities Markets
Depositories and Clearing Corporations
Chapter 2: Market Structure
Types of Markets
The Primary Market: Understanding Securities Issuance
The Secondary Market
The Third Market
The Fourth Market Explained
Chapter 3: Economic Factors
The Federal Reserve Board's Impact on Business Activity and Market Stability
Monetary vs. Fiscal Policy: Differences & Impacts
Open Market Activities & Economy Impact
Different Interest Rates
Business Economic Factors
Purpose of Financial Statements
The Business Cycle
Economic Indicators
Effects on Bond and Equity Markets
Principal Economic Theories
International Economic Factors
U.S. Balance of Payments
GDP and GNP Overview
Exchange Rates
Chapter 4: Offerings
Shelf Registrations and Distributions
Types and Purpose of Offering Documents
Regulatory Filing Requirements and Exemptions
Roles of Participants
Investment Bankers and Underwriters
Municipal Advisors
Types of Offerings
Public vs. Private Securities
IPOs, Secondary, and Follow-On Offerings
Methods of Distribution
Part II: Understanding Products and Their Risks
Chapter 5: Equity Securities
Types of Equities
Common Stock
Preferred Stock Insights
Rights and Warrants in Equity Securities
ADRs: Investment in Foreign Companies Simplified
Ownership Concepts
Limited Liability in Finance: Understanding Risks
Voting Rights in Equity Securities
Convertible Securities Explained
Control and Restrictions
Chapter 6: Debt Instruments
Types of Debt Securities
Treasury Securities
Agency Securities
Corporate Bonds
Municipal Securities
Other Debt Instruments
Key Concepts of Debt Securities
Maturity and Income Generation
Coupon and Par Value
Yield Calculations: Key Concepts of Debt Securities
Ratings & Credit Risk: Key Concepts
Callable and Convertible Features
Price and Interest Rate Relationship
underwriting-processes-key-concepts
Auctions
Chapter 7: Options
Types of Options
Puts and Calls
Equity vs. Index Options
Option Concepts
Hedging and Speculation
Option Terms and Concepts
Exercise and Assignment
Covered vs. Uncovered Options
American vs. European Style Options
Options Disclosure and Regulation
Chapter 8: Packaged Products
Investment Companies
Types of Investment Companies
Key Concepts
Loads and Fees
Share Classes
Net Asset Value
Breakpoints Discounts in Investments
Surrender Charges
Sales Practices and Disclosures
Chapter 9: Municipal Fund Securities
Local Government Investment Pools (LGIPs)
ABLE Accounts
529 Plans
Prepaid Tuition Plans
Use College Savings Plans to Fund Education
Key Concepts
Ownership and Beneficiaries
Tax Advantages
Direct-Sold vs. Advisor-Sold Plans
Chapter 10: Direct Participation Programs (DPPs)
Types of DPPs
Limited Partnerships
Tenants in Common (TIC)
Key Concepts
Understand Pass-Through Tax Treatment
Illiquidity and Risks in DPP Investments
Chapter 11: Real Estate Investment Trusts (REITs)
Types of REITs
Private REITs
Registered, Non-Listed REITs
Listed REITs
Key Concepts
Real Estate Equity and Debt
Tax Advantages
Chapter 12: Hedge Funds
Characteristics of Hedge Funds
Minimum Investment Requirements: Understanding Hedge Funds
Partnership Structure
Private Equity Investments
Illiquidity and Risks
Chapter 13: Exchange-Traded Products (ETPs)
Types of ETPs
Exchange-Traded Funds (ETFs)
Exchange-Traded Notes (ETNs)
Key Concepts
Alternative to Mutual Funds
Fee Considerations
Active vs. Passive Management
Chapter 14: Investment Risks
Types of Risk
Capital Risk
Credit Risk
Currency Risk
Inflationary/Purchasing Power Risk
Interest Rate/Reinvestment Risk
Liquidity Risk
Market/Systematic Risk
Non-Systematic Risk in Investment
Political Risk
Prepayment Risk: Understanding Early Repayment
Risk Mitigation Strategies
Diversification Strategies in Investment
Portfolio Rebalancing
Hedging: Understanding Risks with Options
Part III: Understanding Trading, Customer Accounts, and Prohibited Activities
Chapter 15: Trading, Settlement, and Corporate Actions
Orders and Strategies
Types of Orders
Trade Capacity
Long and Short Positions
Bullish and Bearish Strategies
Investment Returns
Components of Return
Dividends Overview: Understanding Investment Returns
Dividend Dates
Return Measurements
Cost Basis Requirements
Benchmarks and Indices
Trade Settlement
Settlement Time Frames
Physical vs. Book Entry
Corporate Actions
Types of Corporate Actions
Impact on Investors
Notifications and Deadlines
Proxies and Voting
Chapter 16: Customer Accounts and Compliance Considerations
Account Types and Characteristics
Cash Accounts
Margin Accounts
Options Accounts and Characteristics
Discretionary vs. Non-Discretionary Accounts
Fee-Based vs. Commission Accounts
Educational Accounts
Customer Account Registrations
Individual Accounts
Joint Accounts
Corporate/Institutional Accounts
Trust Accounts
Custodial Accounts
Partnership Accounts Overview
Retirement Accounts Overview
Anti-Money Laundering (AML)
Definition and Stages of Money Laundering
AML Compliance Programs
Reporting Requirements
Regulatory Agencies
Books and Records and Privacy Requirements
Record Retention
Confirmations and Account Statements
Holding Customer Mail: Procedures and Authorization
Business Continuity Plans (BCP)
Customer Protection and Asset Custody
Privacy Requirements: Regulation S-P Guide
Communications with the Public and Suitability Requirements
Communications and Telemarketing
Best Interest & Suitability Obligations
Chapter 17: Prohibited Activities
Market Manipulation
Definition and Types
Specific Manipulative Activities
Insider Trading
Definition and Regulations
Identifying Involved Parties
Other Prohibited Activities
IPO Purchase Restrictions
Fraudulent Practices
Improper Use of Customer Assets
Financial Exploitation of Seniors
Activities of Unregistered Persons
Falsifying or Withholding Documents
Books and Records Violations
Part IV: Overview of the Regulatory Framework
Chapter 18: SRO Regulatory Requirements for Associated Persons
Registration and Continuing Education
Qualification Requirements
Registered vs. Non-Registered Persons
Ineligibility & Disqualification Explained
Background Checks and Fingerprinting
State Registration Overview
Continuing Education (CE)
Chapter 19: Employee Conduct and Reportable Events
Employee Conduct
Form U4 and Form U5
Customer Complaints
Red Flags
Reportable Events
outside-business-activities
Private Securities Transactions
Political Contributions and Regulatory Rules
Gifts and Gratuities
Business Entertainment Events
Financial Disclosures
Conclusion
Exam Preparation Tips and Final Thoughts
Appendix
Relevant Rules and Regulations
Home
SIE Exams & Quizzes
Part III: Understanding Trading, Customer Accounts, and Prohibited Activities
Chapter 17: Prohibited Activities
Market Manipulation
Market Manipulation
In this section
Understanding Market Manipulation: Definition & Types
Explore market manipulation, its definition and types, including spreading rumors and pump and dump schemes in securities trading.
Master Market Manipulation: Specific Manipulative Activities
Learn about market manipulation tactics like front running, marking the open/close, backing away, and freeriding to pass the FINRA SIE Exam.
Tuesday, October 1, 2024
Insider Trading