Learn Finra Securities Industry Essentials (Sie) Training

Unlock FINRA SIE: Understand Markets, Regulations, and Investments, Navigate Financial Industry for Ultimate Success.

What you'll learn

Learn about key regulatory organizations like FINRA, SEC, and MSRB, the roles of broker-dealers, and the function of self-regulatory organizations (SROs).

Understand primary vs. secondary markets, stock exchanges vs. OTC markets, and the roles of investment banks, market makers, and broker-dealers.

Explore different asset classes, including stocks, bonds, mutual funds, ETFs, REITs, options, and derivatives, along with their risks and valuation methods.

Gain knowledge of market and limit orders, stop orders, margin accounts, trade settlements, and clearing processes.

Securities Act of 1933, Securities Exchange Act of 1934, & Investment Company Act of 1940, AML compliance, insider trading laws, & customer protection rules.

Understand fiduciary duties, suitability standards, conflicts of interest, and best practices for handling customer accounts.

Learn how to assess market risk, credit risk, diversification strategies, portfolio management principles, and tax-efficient investing.

and much more

Requirements

Willingness or Interest to learn about FINRA and SIE Exam Preparation for Success.

Description

|| Unofficial Course ||This course is an independent educational resource designed to help individuals prepare for the FINRA Securities Industry Essentials (SIE) Exam. It is not affiliated with, endorsed by, or sponsored by FINRA, the SEC, or any regulatory authority. The materials provided are for educational purposes only and do not guarantee exam success or professional licensure. Candidates should refer to FINRA’s official resources for the most up-to-date exam guidelines and industry regulations.Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE) Exam is an entry-level exam designed for individuals looking to start a career in the securities industry. The SIE exam assesses basic knowledge of financial markets, investment products, regulatory frameworks, and industry best practices.This comprehensive course is designed to equip aspiring financial professionals with the knowledge and skills needed to excel on the Securities Industry Essentials (SIE) Exam. Whether you're new to the financial sector or looking to enhance your understanding of securities markets, regulations, and investment vehicles, this course provides a structured, in-depth approach to mastering key concepts.The course begins with an introduction to the securities industry, covering its structure, regulatory framework, and the various career paths available. Students will gain an understanding of key regulatory organizations such as FINRA, the SEC, and the MSRB, as well as the roles of different broker-dealers and self-regulatory organizations (SROs). This foundational knowledge will help learners see how the SIE Exam fits into the broader securities licensing process.Next, the course explores capital markets, breaking down the differences between primary and secondary markets, exchanges versus OTC markets, and key participants such as investment banks and market makers. Students will learn about market indices, including the S&P 500, Dow Jones Industrial Average, and Nasdaq Composite, as well as how these benchmarks are calculated and their importance in market analysis. The curriculum also covers economic factors affecting markets, such as monetary and fiscal policy, economic indicators, and the impact of global investing, providing a well-rounded perspective on market trends and cycles.A significant portion of the course is dedicated to understanding securities products and investment vehicles. Students will explore equity and debt securities, including common and preferred stock, corporate and municipal bonds, U.S. Treasury securities, and structured products. Investment companies such as mutual funds and ETFs, alternative investments like REITs and hedge funds, and complex derivatives including options and futures are also covered in detail. Learners will gain insights into valuation methods, interest rate relationships, and risk factors associated with different investment instruments.The course then shifts to trading, customer accounts, and prohibited activities, detailing the mechanics of order types, trade settlement, and margin accounts. Students will gain a clear understanding of customer account documentation, retirement accounts, tax-advantaged investing, and key trading strategies. The curriculum also highlights crucial regulatory considerations, including rules surrounding insider trading, market manipulation, fraud, and unethical compensation practices. By exploring real-world case studies, learners will be better prepared to identify and avoid prohibited activities in the securities industry.A thorough examination of the regulatory framework provides insights into major financial laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. Students will learn about FINRA rules and regulations, customer protection requirements, anti-money laundering (AML) compliance, and communication standards for financial professionals. Licensing and registration requirements, continuing education obligations, and cybersecurity best practices are also explored to ensure students understand the responsibilities associated with a career in the securities industry.The course also emphasizes professional conduct, ethics, and risk management. Students will gain a deep understanding of fiduciary duty, suitability standards, conflicts of interest, and best practices for handling customer complaints. The curriculum explores investment risk analysis, diversification strategies, and the principles of portfolio management. Additionally, learners will be introduced to Regulation Best Interest (Reg BI) and its impact on client recommendations, as well as tax considerations and disclosure requirements for various financial products.By the end of this course, students will have a solid grasp of the securities industry’s essential concepts, preparing them not only to pass the SIE Exam with confidence but also to pursue a successful career in finance. Through engaging lessons, practical examples, and regulatory insights, this course ensures a well-rounded education that aligns with industry expectations.By taking this course, students gain valuable insights into the securities industry, financial markets, investment products, and compliance regulations, helping them build a strong foundation for their careers in finance.Thank you

Overview

Section 1: Introduction to the SIE Exam and the Financial Industry

Lecture 1 The Structure of the Securities Industry

Lecture 2 Financial Industry Careers and Professional Paths

Lecture 3 Regulatory Framework Overview

Section 2: Knowledge of Capital Markets

Lecture 4 Types of Markets and Market Participants

Lecture 5 Market Structure and Market Indices

Lecture 6 Economic Factors Affecting Markets

Lecture 7 Market Trends and Cycles

Lecture 8 International Markets and Global Investing

Section 3: Understanding Securities Products and Investment Vehicles

Lecture 9 Equity Securities: Common and Preferred Stock

Lecture 10 Debt Securities: Bonds and Bond Markets

Lecture 11 U.S. Treasury Securities and Government Bonds

Lecture 12 Municipal Securities

Lecture 13 Corporate Bonds and Debt Instruments

Lecture 14 Investment Companies: Mutual Funds and ETFs

Lecture 15 Alternative Investments

Lecture 16 Packaged Products and Variable Contracts

Lecture 17 Options Basics

Lecture 18 Derivatives and Complex Products Overview

Section 4: Understanding Trading, Customer Accounts and Prohibited Activities

Lecture 19 Trade Settlement and Clearance

Lecture 20 Cash vs. Margin Accounts

Lecture 21 Customer Account Documentation

Lecture 22 Retirement Accounts and Tax-Advantaged Investing

Lecture 23 Trade Corrections and Adjustments

Lecture 24 Prohibited Activities: Market Manipulation

Lecture 25 Prohibited Activities: Insider Trading

Lecture 26 Prohibited Activities: Customer Fraud

Lecture 27 Prohibited Activities: Undisclosed Compensation

Section 5: Regulatory Framework and Requirements

Lecture 28 Securities Act of 1933 Overview

Lecture 29 Securities Exchange Act of 1934 Overview

Lecture 30 Investment Company Act of 1940 and Investment Advisers Act

Lecture 31 FINRA Rules and Regulations

Lecture 32 Customer Protection and Privacy Rules

Lecture 33 Anti-Money Laundering (AML) Compliance

Lecture 34 Communications with the Public

Lecture 35 Licensing and Registration Requirements

Lecture 36 Business Continuity Planning and Cybersecurity

Section 6: Professional Conduct and Ethical Considerations

Lecture 37 Fiduciary Duty vs. Suitability Standard

Lecture 38 Conflicts of Interest

Lecture 39 Gifts, Gratuities, and Business Entertainment

Lecture 40 Outside Business Activities and Private Securities Transactions

Lecture 41 Customer Complaints and Dispute Resolution

Lecture 42 Ethical Decision Making in the Securities Industry

Section 7: Risk Management and Customer Recommendations

Lecture 43 Risk Types and Analysis

Lecture 44 Diversification and Portfolio Management Principles

Lecture 45 Suitability Considerations

Lecture 46 Regulation Best Interest (Reg BI)

Lecture 47 Tax Considerations in Investment Decisions

Aspiring Financial Professionals – Individuals seeking careers as financial advisors, investment bankers, stockbrokers, or other securities-related roles.,Students and Recent Graduates – College students or graduates interested in finance, investing, or working at brokerage firms, investment banks, or asset management companies.,Career Changers – Professionals from other industries looking to transition into the financial sector and gain essential industry knowledge.,Job Seekers in Finance – Those preparing for entry-level positions in financial firms and wanting to enhance their resumes with SIE exam readiness.,SIE Exam Candidates – Anyone preparing for the FINRA Securities Industry Essentials (SIE) Exam and looking for a structured study guide to help pass with confidence.,No prior industry experience or firm sponsorship is required—this course provides everything you need to start your journey in the world of finance!