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SIE Exam 2027/2028 For Dummies (Securities Industry Essentials Exam Prep + Practice Tests & Flashcards Online)
Steven M. Rice (Author)
9781394421701, Wiley
Paperback / softback, published 4 June 2026
400 pages
27.4 x 21.3 x 3.3 cm, 0.748 kg
Pass the SIE Exam and launch a great career in the securities industry SIE Exam 2027/2028 For Dummies is the guide you need to study for the Securities Industry Essentials (SIE) Exam, administered by FINRA. Future securities industry professionals are required to take each series-level exam (such as the Series 7), and Dummies is here to help! Test your knowledge with 4 practice tests, and prep for test day, so you feel ready for the exam that will jumpstart your career. This book helps you understand key terms and concepts that you’ll need to know to pass the SIE. It also teaches you how to apply them, so you can sail through test day. Check the SIE exam off your to-do list, with the help of this bestselling Dummies study guide. Inside: This study guide is highly recommended for anyone looking to take the SIE exam. Study with SIE Exam 2027/2028 For Dummies!
Introduction 1 Part 1: Getting Things Rolling: Starting Your SIE Journey 5 Chapter 1: Introducing the SIE (Securities Industry Essentials) Exam 7 Chapter 2: Getting Prepared to Take the SIE Exam 19 Chapter 3: Examining and Mastering Questions 29 Chapter 4: Surviving Test Day 41 Part 2: Starting at Square One: Basic Security Investments 47 Chapter 5: Securities Underwriting: The Process and the Team Players 49 Chapter 6: Equity Securities: Corporate Ownership 63 Chapter 7: Debt Securities: Corporate and U.S Government Loans 83 Chapter 8: Municipal Bonds: Securities Issued by Local Governments 103 Part 3: Diving Deeper: Taking a Look at More Complex Securities 125 Chapter 9: Delivering Diversification with Packaged Securities 127 Chapter 10: Working with Direct Participation Programs (DPPs) and REITs 147 Chapter 11: Options: Understanding the Elements of Puts and Calls 159 Part 4: Playing Nicely: Serving Your Client’s Needs and Following the Rules 187 Chapter 12: Customer Accounts: Proper Handling of Accounts 189 Chapter 13: Securities Analysis: Doing Some Market Research 205 Chapter 14: Securities Markets: Taking Orders and Executing Trades 225 Chapter 15: Making Sure the IRS Gets Its Share 241 Chapter 16: Rules and Regulations: No Fooling Around 255 Part 5: Putting Your Pencil to Paper: Practice Exams 289 Chapter 17: Ready, Set, Go!: Practice Exam 1 291 Chapter 18: Answers and Explanations to Practice Exam 1 305 Chapter 19: Nothing But Net: Practice Exam 2 315 Chapter 20: Answers and Explanations to Practice Exam 2 329 Part 6: The Part of Tens 341 Chapter 21: Ten SIE Exam Traps to Avoid 343 Chapter 22: Ten Ways to Start Your Career Off Right 347 Glossary 351 Index 371
Subject Areas: Education [JN]
