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    Securities Industry Essentials (Sie) Test Prep Course

    Posted By: ELK1nG
    Securities Industry Essentials (Sie) Test Prep Course

    Securities Industry Essentials (Sie) Test Prep Course
    Last updated 5/2020
    MP4 | Video: h264, 1280x720 | Audio: AAC, 44.1 KHz
    Language: English | Size: 3.12 GB | Duration: 12h 36m

    You can view this course as a realistic alternative to paying for hours of tutoring and study at your own phase!

    What you'll learn
    ALL Securities Industry Essentials (SIE) exam topics
    Equity and Debt Securities
    Securities Act of 1933 and 1934
    Capital Markets
    Basics of Options Contracts
    Industry Regulatory Framework
    Other Securities Products and their Risks
    Customer Accounts and Prohibited Activities
    Business of the Broker-Dealer
    Verifying Customer Purchases and Sales Instructions
    Requirements
    No particular prior financial education required. This course covers all the "essentials" of the financial industry.
    Description
    This course prepares you to pass the Securities Industry (SIE) exam that will be required as of October 1, 2018 by FINRA for anyone who is interested in entering the financial services industry.You can view this course as realistic alternative to paying for hours of tutoring and allows you to pause, rewind, and/or repeat concepts as needed. PLUS, you'll have access to realistic practice questions, final exam and step-by-step demonstrations of how to approach and answer those questions accurately and efficiently.As a bonus you''ll be able to download cheat sheets in PDF format, that cover the most important concepts you must know for the exam.Warning: This is an intensive course with 12+ hours of video lecturesSecurities Industry Essentials (SIE)  Prep Course Outline:Section 1. Conducting Yourself as a Financial Services ProfessionalSection 2. Equity, Debt and Other Investment ProductsSection 3. Investment Companies, Private Equity and Structured ProductsSection 4. Capital Markets, Issuing Securities and Trading on Customer Accounts4 Practice Quizzes. 20-40 questions eachFinal Exam. Test with 85 questionsBonus: Tips & Tricks before the Exam day***Course includes 4 Sections, 4 Section Quizzes and a Final Exam(85 questions)***

    Overview

    Section 1: Course Introduction

    Lecture 1 Course Introduction

    Section 2: Section 1: Conducting Yourself as a Financial Services Professional

    Lecture 2 SIE Exam Overview

    Lecture 3 Section 1: Introduction Video

    Section 3: Section 1 Module 1: Getting to know the world of the Financial Services Industry

    Lecture 4 Introduction

    Lecture 5 Goals

    Lecture 6 Lesson 1: Scope of knowledge required to pass the exam

    Lecture 7 Lesson 2: Registration and continuing education

    Lecture 8 Lesson 3: Market participants and their roles

    Lecture 9 Key Takeaways

    Lecture 10 Questions

    Section 4: Section 1 Module 2: Communications with the public

    Lecture 11 Introduction

    Lecture 12 Goals

    Lecture 13 Lesson 1: Required Disclosures and outside business activities

    Lecture 14 Lesson 2: Communications that must be reported to a Principal

    Lecture 15 Lesson 3: The Do not Call Registry

    Lecture 16 Questions

    Lecture 17 Lesson 4: Gifts and Compensation

    Lecture 18 Lesson 5: Political Contributions

    Lecture 19 Questions

    Lecture 20 Lesson 6: Major Acts and Rules

    Lecture 21 Lesson 7: The Securities Act of 1933 and the Securities Act of 1934

    Lecture 22 Questions

    Lecture 23 Key Takeaways

    Section 5: Section 1 Module 3: Factors effecting securities Markets

    Lecture 24 Introduction

    Lecture 25 Goals

    Lecture 26 Lesson 1: Role of the FED

    Lecture 27 Questions

    Lecture 28 Lesson 2: Economic Fundamentals

    Lecture 29 Questions

    Lecture 30 Lesson 3: Business Cycles - Fundamental Analysis

    Lecture 31 Lesson 4: International Economic factors on the securities markets

    Lecture 32 Questions

    Lecture 33 Key Takeaways

    Section 6: Section 1 Module 4: Professional Conduct & Ethical Consideration

    Lecture 34 Introduction

    Lecture 35 Goals

    Lecture 36 Lesson 1: Suspended and Revoked Registrations

    Lecture 37 Lesson 2: Personal Investment Accounts

    Lecture 38 Lesson 3: Information Security

    Lecture 39 Lesson 4: Handling Complaints

    Lecture 40 Questions

    Lecture 41 Lesson 5: Regulating Authorities

    Lecture 42 Questions

    Lecture 43 Lesson 6: Trading Markets

    Lecture 44 Key Takeaways

    Section 7: Section 1 Module 5: Requirements for Opening Customer Accounts

    Lecture 45 Introduction

    Lecture 46 Goals

    Lecture 47 Lesson 1: New Client_ New Account Form

    Lecture 48 Lesson 2: Verifying Records

    Lecture 49 Lesson 3: Special Procedures for opening Accounts of Broker-Dealer Employees

    Lecture 50 Key Takeaways

    Section 8: Section 1 Module 6: Choosing between different types of customer accounts

    Lecture 51 Introduction

    Lecture 52 Goals

    Lecture 53 Lesson 1: Account Ownership

    Lecture 54 Lesson 2: Account Authorizations

    Lecture 55 Lesson 3: Discretionary VS Non-Discretionary Accounts

    Lecture 56 Questions

    Lecture 57 Key Takeaways

    Section 9: Section 1 Module 7: Firm Authorizations & Combatting Illegal Activities

    Lecture 58 Introduction

    Lecture 59 Goals

    Lecture 60 Lesson 1: The Principal sees almost everything

    Lecture 61 Lesson 2: Anti-Money Laundering Compliance

    Lecture 62 Lesson 3: Preventing Identity Theft_ Privacy regulation S-P

    Lecture 63 Key Takeaways

    Section 10: Section 1 Module 8: Cash, Margin and Options accounts

    Lecture 64 Introduction

    Lecture 65 Goals

    Lecture 66 Lesson 1: Cash accounts

    Lecture 67 Lesson 2: Opening a margin account

    Lecture 68 Lesson 3: Options Account Basics

    Lecture 69 Lesson 4: Accounts recap

    Lecture 70 Key Takeaways

    Section 11: Section 1 Module 9: Knowledge Associated with Maintaining Customer Accounts

    Lecture 71 Introduction

    Lecture 72 Goals

    Lecture 73 Lesson 1: Customer Account Record and Books

    Lecture 74 Lesson 2: Physical Receipt Delivery & Safeguarding of Monies

    Lecture 75 Lesson 3: Services, Fees & Restrictions

    Lecture 76 Lesson 4: General Suitability Requirements

    Lecture 77 Lesson 5: Investment Risks

    Lecture 78 Key Takeaways

    Section 12: Section 1 Module 10: Clients objectives and Suitability

    Lecture 79 Introduction

    Lecture 80 Goals

    Lecture 81 Lesson 1: Portfolio Theory

    Lecture 82 Lesson 2: Active VS Passive management

    Lecture 83 Lesson 3: ‘Oops, The Broker-Dealer is Bankrupt’. Investor Protections

    Lecture 84 Key Takeaways

    Section 13: Section 1 Module 11: Prohibited Activities

    Lecture 85 Introduction

    Lecture 86 Goals

    Lecture 87 Lesson 1: Top Prohibited Activities to Know for the Exam

    Lecture 88 Lesson 2: Other Prohibited Activities

    Lecture 89 Key Takeaways

    Section 14: QUIZ: Test Your Knowledge

    Section 15: Section 2: Equity, Debt and Other Investment Products

    Lecture 90 Section 2 Introduction Video

    Section 16: Section 2 Module 1: Introduction to Equity Securities

    Lecture 91 Introduction

    Lecture 92 Goals

    Lecture 93 Lesson 1: What are Equities?

    Lecture 94 Lesson 2: Finra Suitability Criteria for Equity Securities

    Lecture 95 Lesson 3: What do investors get from buying a stock

    Lecture 96 Lesson 4: Why Stock Splits happen

    Lecture 97 Lesson 5: Dividend & EPS Calculations

    Lecture 98 Additional Material - Diving Deeper into Stocks (stock, sectors etc.)

    Lecture 99 Key Takeaways

    Section 17: Section 2 Module 2: Going Public: The Initial Public Offering

    Lecture 100 Introduction

    Lecture 101 Goals

    Lecture 102 Lesson 1: IPO Regulation

    Lecture 103 Lesson 2: Share categories

    Lecture 104 Lesson 3: How share Prices are set

    Lecture 105 Key Takeaways

    Section 18: Section 2 Module 3: Preferred Stocks and other equity securities

    Lecture 106 Introduction

    Lecture 107 Goals

    Lecture 108 Lesson 1: Preferred Stock

    Lecture 109 Lesson 2: Types of Preferred Stock

    Lecture 110 Lesson 3: Derivatives Summary, Rights, Warrants, Options

    Lecture 111 Lesson 4: Rights, Warrants and ADRs

    Lecture 112 Lesson 5: EURODOLLAR DEPOSITS, EUROBONDS, and EURODOLLAR BONDS

    Lecture 113 Key Takeaways

    Section 19: Section 2 Module 3.1: Options Contracts and Derivatives

    Lecture 114 Introduction

    Lecture 115 Goals

    Lecture 116 Lesson 3.1: What`s a derivative

    Lecture 117 Lesson 3.2: Understanding options framework

    Lecture 118 Lesson 3.3: All about the money: All, Out, At

    Lecture 119 Lesson 3.4: The long and short of it

    Lecture 120 Lesson 3.5: Index Options, Settlement procedures, covered/uncovered positions

    Lecture 121 Key Takeaways

    Section 20: Section 2 Module 4: REITs

    Lecture 122 Introduction

    Lecture 123 Goals

    Lecture 124 Lesson 1: Introduction to REITs

    Lecture 125 Lesson 2: REITs advantages

    Lecture 126 Lesson 3: Dividends & taxes for REITs

    Lecture 127 Key Takeaways

    Section 21: Section 2 Module 5: DPPs

    Lecture 128 Introduction

    Lecture 129 Goals

    Lecture 130 Lesson 1: Need to Know Facts for the Exam

    Lecture 131 Lesson 2: Suitability

    Lecture 132 Lesson 3: Advantages and Risks of DPP`s

    Lecture 133 Lesson 4: REITs VS DPPs

    Lecture 134 Key Takeaways

    Section 22: Section 2 Module 6: Basics of Debt Securities

    Lecture 135 Introduction

    Lecture 136 Goals

    Lecture 137 Lesson 1: Debt Securities definition

    Lecture 138 Lesson 2: Debt Issuers

    Lecture 139 Lesson 3: Debt Securities Terminology

    Lecture 140 Lesson 4: Credit ratings

    Lecture 141 Lesson 5: Long and Short term Maturities

    Lecture 142 Questions

    Lecture 143 Lesson 6: Relationship Between Bond Market price and Yields

    Lecture 144 Lesson 7: Call me if you need me. Callable Bonds

    Lecture 145 Lesson 8: Corporate Bond Summary

    Lecture 146 Key Takeaways

    Section 23: Section 2 Module 7: Government Debt Securities. Treasuries.

    Lecture 147 Introduction

    Lecture 148 Goals

    Lecture 149 Lesson 1: The Basics

    Lecture 150 Lesson 2: T-Notes and T-Bonds

    Lecture 151 Lesson 3: Treasury Bills. Money market Securities

    Lecture 152 Lesson 4: Government Debt securities: Risks and Investment Purposes

    Lecture 153 Lesson 5: Something else to remember: Repos & Auctions

    Lecture 154 Key Takeaways

    Section 24: Section 2 Module 8: Municipal Debt Securities

    Lecture 155 Introduction

    Lecture 156 Goals

    Lecture 157 Lesson 1: Introduction to municipal debt

    Lecture 158 Lesson 2: Types of Municipal securities

    Lecture 159 Lesson 3: Who are the purchasers of muni bonds?

    Lecture 160 Lesson 4: Municipal Trading

    Lecture 161 Lesson 5: MSRB Regulations

    Lecture 162 Key Takeaways

    Section 25: Section 2 Module 9: U.S. Government Backed Securities

    Lecture 163 Introduction

    Lecture 164 Goals

    Lecture 165 Lesson 1: U.S. Government Agency Securities

    Lecture 166 Lesson 2: The CMO or much ADO about 2 questions

    Lecture 167 Key Takeaways

    Section 26: Section 2 Module 10: The Money Market

    Lecture 168 Introduction

    Lecture 169 Goals

    Lecture 170 Lesson 1: What is the Money Market?

    Lecture 171 Questions

    Lecture 172 Key Takeaways

    Section 27: QUIZ: Test Your Knowledge

    Section 28: Section 3 : Investment Companies, Private Equity and Structured Products

    Lecture 173 Section 3 Introduction

    Section 29: Section 3 Module 1: Investment companies

    Lecture 174 Introduction

    Lecture 175 Goals

    Lecture 176 Lesson 1: Where it all began

    Lecture 177 Lesson 2: Closed-end Funds

    Lecture 178 Lesson 3: Open-end Funds

    Lecture 179 Lesson 4: Registration with the SEC

    Lecture 180 Lesson 5: Day-to-day management

    Lecture 181 Lesson 6: Comparing Mutual Funds

    Lecture 182 Lesson 7: Computing Sales charges

    Lecture 183 Lesson 8: Reductions in sales charges

    Lecture 184 Key Takeaways

    Section 30: Section 3 Module 2: Private Equity & Structured Products

    Lecture 185 Introduction

    Lecture 186 Goals

    Lecture 187 Lesson 1: Index Tracking Funds

    Lecture 188 Lesson 2: Other Packaged Products

    Lecture 189 Lesson 3: For the sophisticated only

    Lecture 190 Key Takeaways

    Section 31: Section 3 Module 3: Retirement Plans & College Savings Plans

    Lecture 191 Introduction

    Lecture 192 Goals

    Lecture 193 Lesson 1: Employee retirement income Security Act

    Lecture 194 Lesson 2: Retirement Plans. Qualified VS non-qualified

    Lecture 195 Lesson 3: Individual Retirement accounts

    Lecture 196 Lesson 4: Withdrawing and taxation

    Lecture 197 Lesson 5: Educational Savings Accounts

    Lecture 198 Key Takeaways

    Section 32: Section 3 Module 4: Variable Insurance Products

    Lecture 199 Introduction

    Lecture 200 Goals

    Lecture 201 Lesson 1: Annuity Basics

    Lecture 202 Lesson 2: Variable Annuity VS Mutual Fund

    Lecture 203 Lesson 3: Immediate VS Deferred

    Lecture 204 Lesson 4: Accumulation & Annuity Phases

    Lecture 205 Lesson 5: Assumed Interest Rate

    Lecture 206 Lesson 6: Payout Options

    Lecture 207 Lesson 7: Variable life insurance Products

    Lecture 208 Lesson 8: Fees & Charges

    Lecture 209 Lesson 9: Taxation

    Lecture 210 Key Takeaways

    Section 33: QUIZ: Test Your Knowledge

    Section 34: Section 4: Capital Markets, Issuing Securities and Trading on Customer Accounts

    Lecture 211 Section 4 introduction

    Section 35: Section 4 Module 1: Primary Market

    Lecture 212 Introduction

    Lecture 213 Goals

    Lecture 214 Lesson 1: History of the Legislation

    Lecture 215 Lesson 2: Registration

    Lecture 216 Lesson 3: The Underwriting Process: Bids & Offers

    Lecture 217 Lesson 4: The underwriting process & the underwriters

    Lecture 218 Lesson 5: Exemptions

    Lecture 219 Key Takeaways

    Section 36: Section 4 Module 2: Secondary Market

    Lecture 220 Introduction

    Lecture 221 Goals

    Lecture 222 Lesson 1: The Securities Exchange Act of 1934

    Lecture 223 Lesson 2: Exchanges & OTC

    Lecture 224 Lesson 3: The 3rd and the 4th markets

    Lecture 225 Lesson 4: Role of a Broker-Dealer

    Lecture 226 Key Takeaways

    Section 37: Section 4 Module 3: Procedures for purchases of sales.

    Lecture 227 Introduction

    Lecture 228 Goals

    Lecture 229 Lesson 1: Types of positions

    Lecture 230 Lesson 2: Capacity of Broker-Dealer

    Lecture 231 Lesson 3: Bids, Offers & Quotes

    Lecture 232 Lesson 4: Transaction & Trade Settlement

    Lecture 233 Lesson 5: Interaction with the customer

    Lecture 234 Lesson 6: Customer Order Types

    Lecture 235 Key Takeaways

    Section 38: Section 4: Additional Material - Taxation

    Lecture 236 Lesson 1: Tax system

    Lecture 237 Lesson 2: To tax or not to tax?

    Lecture 238 Final Note: Tips & Tricks

    Section 39: QUIZ: Test Your Knowledge

    Section 40: Final Exam (85 questions)

    Anyone who wants to take the FINRA's SIE exam,Curious about the "essentials" of the financial industry sector,Students,People that want to enter financial industry