Securities Industry Essentials (SIE) Prep Flashcards

Decks in this Class (24):

• Chapter 1 Regulatory Entities Agencies A

  Chapter 1: Regulatory Entities, Agencies and Market Participants

  Sample Cards:

  terms to know a negotiable instrument is,

  terms to know the price a seller is will,

  terms to know the price a buyer is willi
  262 Cards
  Preview Flashcards
• Chapter 1 Practice Questions

  Chapter 1: Practice Questions

  Sample Cards:

  the securities exchange commission funct,

  when must the customer pay for securitie,

  the largest options exchange in the us i
  52 Cards
  Preview Flashcards
• Chapter 2 Types Of Markets And Offerings

  Chapter 2: Types of Markets and Offerings

  Sample Cards:

  terms to know a large trade or order equ,

  terms to know an electronic system that,

  terms to know the highest price a buyer
  244 Cards
  Preview Flashcards
• Chapter 2 Practice Questions

  Chapter 2: Practice Questions

  Sample Cards:

  when is the first time that a broker dea,

  when material deficiencies are discovere,

  all of the following apply to a red herr
  69 Cards
  Preview Flashcards
• Chapter 3 Economic Factors

  Chapter 3: Economic Factors

  Sample Cards:

  terms to know the gradual reduction in t,

  terms to know a security that is backed,

  terms to know the value of an asset calc
  261 Cards
  Preview Flashcards
• Chapter 3 Practice Questions

  Chapter 3: Practice Questions

  Sample Cards:

  the theory that reducing taxes and limit,

  under what circumstance would the federa,

  if the federal reserve board fdr through
  42 Cards
  Preview Flashcards
• Chapter 4 Equity Securities

  Chapter 4: Equity Securities

  Sample Cards:

  terms to know price at which a convertib,

  terms to know formula that determines th,

  terms to know unsecured bonds backed onl
  163 Cards
  Preview Flashcards
• Chapter 4 Practice Questions

  Chapter 4: Practice Questions

  Sample Cards:

  a corporation is highly leveraged which,

  which of the following best defines trea,

  which of the following is true about tre
  70 Cards
  Preview Flashcards
• Chapter 5 Debt Instruments

  Chapter 5: Debt Instruments

  Sample Cards:

  terms to know tax imposed on the value o,

  terms to know method of recording stock,

  terms to know a bond that can be redeeme
  298 Cards
  Preview Flashcards
• Chapter 5 Practice Questions

  Chapter 5: Practice Questions

  Sample Cards:

  under what circumstance will the value o,

  if a bond investor wants to know the rat,

  the best definition of current yield is
  89 Cards
  Preview Flashcards
• Chapter 6 Options And Variable Products

  Chapter 6: Options and Variable Products

  Sample Cards:

  terms to know a pessimistic market senti,

  terms to know an optimistic market senti,

  terms to know a financial contract with
  242 Cards
  Preview Flashcards
• Chapter 6 Practice Questions

  Chapter 6: Practice Questions

  Sample Cards:

  an investor owns 1000 shares of xyz an o,

  abc stock is trading at 1830 a share the,

  if xyz stock is trading at 2750 which of
  81 Cards
  Preview Flashcards
• Chapter 7 Investment Companies

  Chapter 7: Investment Companies

  Sample Cards:

  terms to know a price below par a bond s,

  terms to know portfolio strategy that se,

  terms to know the final payment date on
  259 Cards
  Preview Flashcards
• Chapter 7 Practice Questions

  Chapter 7: Practice Questions

  Sample Cards:

  which of the following functions would b,

  25k 50k 100k 250k 0 robert purchased 40,

  which of the following statements about
  106 Cards
  Preview Flashcards
• Chapter 8 Municipal Fund Securities And

  Chapter 8: Municipal Fund Securities and Direct Participation Programs

  Sample Cards:

  terms to know income after all taxes are,

  terms to know not subject to an obligati,

  terms to know the ease with which an ass
  171 Cards
  Preview Flashcards
• Chapter 8 Practice Questions

  Chapter 8: Practice Questions

  Sample Cards:

  ted and carol opened a 529 plan for thei,

  a client owns a real estate partnership,

  a parent has been using distributions fr
  43 Cards
  Preview Flashcards
• Chapter 9 Trading Settlement And Corpora

  Chapter 9: Trading, Settlement, and Corporate Actions

  Sample Cards:

  every investment selection has ______ an,

  investment risks can be categorized as _,

  ______ refers to risks that affect the e
  277 Cards
  Preview Flashcards
• Chapter 9 Practice Questions

  Chapter 9: Practice Questions

  Sample Cards:

  which of the following is an example of,

  a client who has an individual account i,

  a registered representative was instruct
  81 Cards
  Preview Flashcards
• Chapter 10 Customer Accounts And Complia

  Chapter 10: Customer Accounts and Compliance Considerations

  Sample Cards:

  terms to know prohibited practice of com,

  terms to know an individual who obtains,

  terms to know any written or e mail mess
  333 Cards
  Preview Flashcards
• Chapter 10 Practice Questions

  Chapter 10: Practice Questions

  Sample Cards:

  if you buy 1 000 shares of xyz at 500 a,

  if a customer opens a margin account to,

  if a customer opens a margin account and
  129 Cards
  Preview Flashcards
• Chapter 11 Overview Of The Regulatory Fr

  Chapter 11: Overview of the Regulatory Framework

  Sample Cards:

  terms to know a faster and less expensiv,

  terms to know the misappropriation of fu,

  terms to know a fee paid to someone who
  120 Cards
  Preview Flashcards
• Chapter 11 Practice Questions

  Chapter 11: Practice Questions

  Sample Cards:

  how long does registered persons returni,

  uniform termination notice for securitie,

  how often must broker dealers report pol
  31 Cards
  Preview Flashcards
• Key Facts

  Key Facts

  Sample Cards:

  ______ or ______ regulates new issues of,

  ______ or ______ regulates the trading o,

  ______ paved the way for self regulatory
  763 Cards
  Preview Flashcards
• Exam Questions

  Exam Questions

  Sample Cards:

  grandparents with a combined adjusted gr,

  return on investment takes into account,

  when would a member firm use a form nrf
  235 Cards
  Preview Flashcards