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Securities industry essentials exam 2023-2024 for dummies with online practice / by Steven M. Rice.

by Rice, Steven M., author.

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Hoboken, NJ : John Wiley & Sons, Inc., [2022]

Stockbrokers -- United States -- Examinations, questions, etc.

Securities -- United States -- Examinations -- Study guides.

Stocks -- United States -- Examinations -- Study guides.

9781119886853 (paperback) :

1119886856 (paperback)

xiv, 361 pages : illustrations ; 28 cm.

Part 1. Getting started with the SIE exam. Introducing the SIE (Securities industry essentials) exam -- Preparing for the SIE exam -- Examining and mastering question types -- Surviving test day -- Part 2. Mastering basic security investments. Securities underwriting: the process and the team players -- Equity securities: corporate ownership -- Debt securities : corporate and U.S. government loans -- Municipal bonds : local government securities -- Part 3. Delving deeper : security investments with a twist. Delivering diversification with packaged securities -- Working with direct participation programs and REITs -- Options : understanding the basics of puts and calls -- Part 4. Playing nicely : serving your customers and following the rules. Customer accounts: doing the right thing -- Securities analysis: doing a little market research -- Securities markets: taking orders and executing trades -- Making sure the IRS gets its share -- Rules and regulations: no fooling around -- Part 5. Putting your knowledge to good use: practice exams. Bring it out: practice exam 1 -- Answers & explanations to practice exam 1 -- Nothing but net : practice exam 2 -- Answers & explanations to practice exam 2 -- Part 6: The part of tens. Ten SIE exam traps to avoid -- Ten ways to start your career off right.

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