Articles & Books From Securities Industry Essentials Exam

Cheat Sheet / Updated 06-10-2024
The Securities Industry Essentials (SIE) exam tests your basic knowledge of the securities industry. This exam is a corequisite exam for people who want to become an investment company representative, a general securities representative, a direct participation programs (DPP) representative, a securities trader, an investment banking representative, a private securities offerings representative, a research analyst, or an operations professional.
Article / Updated 08-30-2023
Because of the number of questions that could be asked, the Securities Industry Essentials (SIE) exam is a beast of a test that poses questions in many different ways. You have to deal with multitiered Roman numeral nightmares, open- and closed-ended sentences, and killers like except and not. Straightforward question types on the SIE Straightforward question types include a group of sentences with the facts followed by a question or incomplete sentence; you then get four answer choices, one of which correctly answers the question or completes the idea.
SIE Exam: 1001 Practice Questions For Dummies
A helpful and effective SIE test prep resourceIf you want a job in the Securities industry, the first step is to show your employer you’ve got what it takes. And to do that, you need a great score on the SIE Exam. You can maximize your chances of acing it on the first try with the latest SIE practice resource from your friends at For Dummies.
Cheat Sheet / Updated 07-05-2023
The Securities Industry Essentials (SIE) Exam is your starting point to becoming a registered representative. The SIE must be passed before you can take some of the top-off exams such as the Series 7. The SIE Exam tests your understanding of the basics regarding securities, the market, rules, and such.The SIE Exam is by no means easy and requires a lot of concentration and preparation.
SIE Exam 2025/2026 For Dummies
Secure a great career in the financial securities industry with this SIE study guide The Securities Industry Essentials (SIE) Exam, administered by FINRA, is for aspiring securities industry professionals. Passing this exam is a prerequisite to the famous (and infamous) series-level exams such as the Series 7.
Article / Updated 03-24-2021
For the Securities Industry Essentials (SIE) exam, make sure you have a good handle on bond basics. Review basic bond terminology and some bond characteristics. © Andrii Yalanskyi / Shutterstock.com Remembering bond terminology The SIE exam designers expect you to know general bond terminology. This article reinforces the information you may have already learned from a prep course or study material (or are in the process of learning).
Article / Updated 03-24-2021
Although most analysts use some combination of fundamental analysis and technical analysis to make their securities recommendations, for the Securities Industry Essentials Exam purposes, you need to be able to differentiate between the two types. This article discusses fundamental analysis.Fundamental analysts perform an in-depth analysis of companies.
Article / Updated 03-24-2021
Technical analysts look at the market to determine whether the market is bullish or bearish. They look at trendlines, trading volume, market sentiment, market indices (S&P 500, DJIA, and so on), options volatility, market momentum, available funds, index futures, new highs and lows, the advance-decline ratio, odd lot volume, short interest, put-to-call ratio (options trading), and so on.
Article / Updated 03-24-2021
After all the time, effort, and sacrifice you put into studying, elevating the importance of the Securities Industry Essentials (SIE) exam to an unrealistically high level is easy. Step back for a moment. Keep it in perspective. This situation is not life or death. If you don’t pass the test the first time, the worst thing that happens is that you have to retake it.
Article / Updated 04-01-2019
To make sure you don’t walk into the Securities Industry Essentials (SIE) exam testing center, take one look at the computer screen, go into shock, and start drooling on the keyboard, this article covers some of the testing details for the SIE exam. The SIE exam basics The SIE exam is a computerized, closed book (in other words, no book), one-hour and 45-minute exam.