SIE Exam: Securities Industry Essentials Exam Lessons and Information

SIE Exam Lesson 19 Mutual Funds pt 2 Quiz SIE Exam Lesson 19 Mutual Funds pt 2 Quiz This is a SIE Exam Lesson 19 Mutual Funds pt 2 Quiz, See how you do if you need help listen to the lesson over. Questions covered include 1. Which of the following is true about closed-end funds? (Select all that apply.) A. It can trade at a premium or at discount to net asset value. B. It is redeemed. C. It has a...

SIE Exam Lesson 18 Mutual Funds pt 1 Quiz SIE Exam Lesson 18 Mutual Funds pt 1 Quiz This is a SIE Exam Lesson 18 Mutual Funds pt 1 Quiz, See how you do if you need help listen to the lesson over. Questions covered include 1. Which of the following is an example of a mutual fund? (Select all that apply.) A. corporate bond fund B. balanced fund C. hedge fund D. junk bond fund 2. Which of the followi...

SIE Exam Lesson 17 Investment Company Act of 1940 Quiz SIE Exam Lesson 17 Investment Company Act of 1940 Quiz This is a SIE Exam Lesson 17 Investment Company Act of 1940 Quiz, See how you do if you need help listen to the lesson over. Questions covered include 1. Which of the following does the Investment Company Act of 1940 regulate? (Select all that apply.) A. open-end mutual funds B. closed-end...

SIE Exam Lesson 16 Options pt 6 SIE Exam Lesson 16 Options pt 6 This is a SIE Exam Lesson 16 Options pt 6  options pt.6 which is covering option combinations, See how you do if you need help listen to the lesson over. Questions covered include 1. It is the purchasing and selling of put or call options with different strike prices, different expiration dates, or both. A. combination B. spread C. st...

SIE Exam Lesson 15 Options pt 5 SIE Exam Lesson 15 Options pt 5 This is a SIE Exam Lesson 15 Options pt 5  options pt.1 which is covering spread options, See how you do if you need help listen to the lesson over. Questions covered include 1. It is the purchasing and selling of put or call options with different strike prices, different expiration dates, or both. A. combination B. spread C. straddl...

SIE Exam Lesson 14 Options pt 4 SIE Exam Lesson 14 Options pt 4 This is a SIE Exam Lesson 14 Options pt 4  options pt.1which is covering straddle options See how you do if you need help listen to the lesson over. Questions covered include 1. It is a strategy of buying a put and a call with the same expiration date and the same strike price on the same company. A. combination B. protective put C. s...

SIE Exam Lesson 13 Options pt 3 SIE Exam Lesson 13 Options pt 3 This is a SIE Exam Lesson 13 Options pt 3  options pt.1which is covering options pt. 1 basic option terminology of call and put options See how you do if you need help listen to the lesson over. Questions covered include Below are questions based on the previous lesson. Choose the letter of the correct answer. To take the quiz online,...

SIE Exam Lesson 12 Options pt 2 SIE Exam Lesson 12 Options pt 2 This is a SIE Exam Lesson 12 Options pt 2  options pt.1which is covering options pt. 1 basic option terminology of call and put options See how you do if you need help listen to the lesson over. Questions covered include Below are questions based on the previous lesson. Choose the letter of the correct answer. To take the quiz online,...

SIE Exam Lesson 11 Options pt 1 Quiz SIE Exam Lesson 11 Options pt 1 Quiz This is a SIE Exam Lesson 11 Quiz  options pt.1which is covering options pt. 1 basic option terminology of call and put options See how you do if you need help listen to the lesson over. Questions covered include Below are questions based on the previous lesson. Choose the letter of the correct answer. To take the quiz onlin...

This is a SIE Exam Lesson 10 Free Quiz which is covering Credit Default Swaps, Adjustable Rate Securities and SPV’. Try it and see how you do if you need help listen to the lesson over. SIE SIE Exam Lesson 10 Free Quiz This is a SIE Exam Lesson 10 Free Quiz which is coveringCredit Default Swaps, Adjustable Rate Securities and SPV’s. Try it and see how you do if you need help listen to...

This is a SIE Exam Lesson 9 Free Quiz which is covering Money Market. Try it and see how you do if you need help listen to the lesson over. SIE SIE Exam Lesson 9 Free Quiz This is a SIE Exam Lesson 9 Free Quiz which is covering Money Market. Try it and see how you do if you need help listen to the lesson over. Questions covered include Below are questions based on the previous lesson. Choose the l...

This is a SIE Exam Lesson 8 Free Quiz which is covering Municipal Debt. Try it and see how you do if you need help listen to the lesson over. SIE SIE Exam Lesson 8 Free Quiz This is a SIE Exam Lesson 8 Free Quiz which is covering Municipal Debt. Try it and see how you do if you need help listen to the lesson over. Questions covered include Below are questions based on the previous lesson. Choose t...

This is a SIE Exam Lesson 7 Free Quiz which is covering Fixed income. Try it and see how you do if you need help listen to the lesson over. SIE SIE Exam Lesson 7 Free Quiz This is a SIE Exam Lesson 7 Free Quiz which is covering Fixed income. Try it and see how you do if you need help listen to the lesson over. Questions covered include Below are questions based on the previous lesson. Choose the l...

This is a SIE Exam Lesson 6 Free Quiz which is covering Fixed income. Try it and see how you do if you need help listen to the lesson over. SIE Exam Lesson 6 Free Quizz This is a SIE Exam Lesson 6 Free Quiz which is covering Fixed income. Try it and see how you do if you need help listen to the lesson over. Questions covered include 1. Which of the following is the correct set of government bills...

This is a SIE Exam Lesson 5 Free Quiz which is covering Fixed income. Try it and see how you do if you need help listen to the lesson over. SIE Exam Lesson 5 Free Quizz This is a SIE Exam Lesson 5 Free Quiz which is covering Fixed income. Try it and see how you do if you need help listen to the lesson over. Questions covered include 1. Which of the following is an example of a fixed income investm...

This is a SIE Exam Lesson 4 Free Quiz which is covering Special Securities. Try it and see how you do if you need help listen to the lesson over. SIE Exam Lesson 4 Free Quiz This is a SIE Exam Lesson 4 Free Quiz which is covering Preferred Stocks. Try it and see how you do if you need help listen to the lesson over. Questions covered include 1. These are rights to purchase stock at specific prices...

This is a SIE Exam Lesson 2 Free Quiz which is covering Common Stocks. Try it and see how you do if you need help listen to the lesson over. SIE Exam Lesson 3 Free Quiz This is a SIE Exam Lesson 3 Free Quiz which is covering Preferred Stocks. Try it and see how you do if you need help listen to the lesson over. Questions covered include 1. In which of the following sections of the balance sheet is...

This is a SIE Exam Lesson 1 Free Quiz which is covering Common Stocks. Try it and see how you do if you need help listen to the lesson over. SIE Exam Lesson 2 Free Quiz This is a SIE Exam Lesson 1 Free Quiz which is covering Common Stocks. Try it and see how you do if you need help listen to the lesson over. Questions covered include 1. In which of the following sections of the balance sheet is th...

SIE Exam Lesson 59 SECURE Act and Accredited investors This is SIE Exam Lesson 59 Audio Lessons for the SIE Exam the SECURE Act and Accredited investors you will need to have an understanding of to be able to pass both the SIE exam and the series 7 exam. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 47 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson...

SIE Exam Lesson 47 Margins pt 1 This is SIE Exam Lesson 47 which is the first lesson on Margins you will need to have an understanding of margins to be able to pass both the SIE exam and the series 7 exam. It involves a lot of memorization and can be difficult to absorb. Fortunately after you pass the exams you really don’t need to pay much attention to them because you will have a departmen...

SIE Exam Lesson 46 Macro and Portfolio Analysis This is SIE Exam Lesson 46 which is going to be covering Macro Analysis and Portfolio analysis in this lesson we continue talking about “Global” or “Macro” approach to investment analysis and add portfolio analysis. We’re going to cover analysis in great detail first starting with balance sheets and going on to income statements then to cash fl...

SIE Exam Lesson 39 Analysis Income Statement pt 3 This is SIE Exam Lesson 45 which is going to be covering Macro Analysis in this lesson we start talking about “Global” or “Macro” approach to investment analysis. We’re going to cover analysis in great detail first starting with balance sheets and going on to income statements then to cash flow and then other analysis techniquesThis SIE Exam...

SIE Exam Lesson 39 Analysis Income Statement pt 3 This is SIE Exam Lesson 39 which is going to be covering the third lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We’re going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow state...

SIE Exam Lesson 38 Analysis Income Statement pt 2 This is SIE Exam Lesson 38 which is going to be covering the second lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We’re going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow stat...

SIE Exam Lesson 37 Analysis Income Statement pt 1 This is SIE Exam Lesson 37 which is going to be covering the first lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We’re going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow state...