Master FINRA Securities Industry Essentials (SIE) Training

What you'll learn
The structure and function of primary and secondary markets, and how capital markets contribute to economic growth.
The key players in capital markets, including issuers, investors, intermediaries, and the role of regulatory bodies like the SEC and FINRA.
The differences between public and private offerings, with a focus on Initial Public Offerings (IPOs), follow-on offerings, and secondary offerings.
How economic indicators such as GDP, inflation, and unemployment, along with monetary and fiscal policies, influence capital markets.
Understanding Financial Products and Their Risks.
Trading Practices and Customer Accounts.
Explore the Insider trading, Market manipulation, Conflicts of interest, Fiduciary duties, and Anti-Money Laundering (AML) regulations.
Overview of major regulatory bodies like the SEC, FINRA, CFTC, and OCC.
Trading rules, operations, and compliance requirements.
and much more
Requirements
Willingness or Interest to learn about FINRA and Preparation for the SIE Exams.
Description
IMPORTANT before enrolling
This course is designed to complement your preparation for certification exams, but it is not a substitute for official vendor materials. It is not endorsed by the certification vendor, and you will not receive the official certification study material or a voucher as part of this course.
FINRA Securities Industry Essentials (SIE) exam
is an introductory-level exam administered by the Financial Industry Regulatory Authority (
FINRA
). It is designed to assess a candidate's knowledge of the fundamental concepts of the securities industry. The
SIE exam
is the first step for individuals who want to pursue a career in the securities industry, particularly in roles like securities trading, investment banking, and financial advising.
This course provides a comprehensive exploration of capital markets, offering an in-depth understanding of their structure, participants, products, and regulatory frameworks. It begins with an overview of the capital markets, distinguishing between primary and secondary markets, and highlighting their critical role in the economy. The course delves into the various market participants, including issuers, investors, intermediaries, and regulatory bodies such as the
SEC and FINRA
, to explain their respective roles in the functioning of capital markets.
A significant portion of the course is dedicated to different types of securities offerings, including public versus private offerings,
Initial Public Offerings (IPOs)
, follow-on offerings, and secondary offerings. Students will gain insights into how economic factors, such as GDP, inflation, interest rates, and fiscal policy, impact capital markets.
The course also covers a wide range of financial products and their associated risks, starting with equity securities like common and preferred stocks, including discussions on dividends, voting rights, and the risks linked to equity investments. It then moves on to debt securities, exploring bonds, notes, debentures, interest rates, bond pricing, credit ratings, and default risk. The course also examines derivative securities, including options, futures, and forwards, and their use in hedging and speculative strategies.
Investment companies and funds, including mutual funds, ETFs, closed-end funds, hedge funds, and private equity funds, are thoroughly explored, with a focus on their risks and benefits. The course also addresses annuities and retirement products, such as fixed and variable annuities and Individual Retirement Accounts (IRAs), emphasizing the risks associated with retirement planning. Additionally, students will learn about other investment products, including real estate investment trusts (REITs), commodities, precious metals, and structured products.
Trading practices are another key focus, with discussions on various order types, the trade execution and settlement process, and margin trading. The course explains the risks of leverage, margin requirements, maintenance margins, and margin calls. It also covers customer accounts, including individual, joint, corporate, retirement, and custodial accounts, and addresses customer communication principles, suitability standards, and Know Your Customer (KYC) rules.
The course further delves into prohibited practices and ethical considerations in the capital markets, including insider trading, market manipulation, conflicts of interest, fiduciary duties, and
Anti-Money Laundering (AML) regulations
.
A significant portion of the course is devoted to the regulatory framework governing capital markets, starting with an overview of regulatory bodies like the
SEC, FINRA, CFTC, and OCC
. It discusses the registration and licensing requirements for securities professionals, including Series exams, continuing education, and professional standards. Key regulatory acts, such as the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940, are examined, along with their impact on the industry and the regulation of investment advisers.
The course also addresses AML regulations, privacy and confidentiality regulations, including Regulation S-P and the Red Flags Rule, and the regulatory requirements for business continuity and disaster recovery planning.
Finally, the course explores trading rules and regulations, operations and compliance requirements, and risk management principles, including net capital requirements, financial responsibility, and cybersecurity regulations.
Throughout the course, students will gain the knowledge needed to navigate the complexities of capital markets, understand the various products and participants, and adhere to the regulatory standards governing the industry.
Thank you
Who this course is for
Aspiring Finance Professionals: Individuals seeking to start a career in finance, investment banking, trading, or financial advising will benefit from the comprehensive foundation in capital markets provided by this course.
Students and Recent Graduates: Those studying finance, economics, business, or related fields who want to deepen their understanding of capital markets as they prepare to enter the workforce.
Industry Professionals: Current professionals in finance or related industries looking to enhance their knowledge of capital markets, stay updated on industry practices, or prepare for licensing exams like the FINRA SIE.
Investors and Traders: Individuals interested in gaining a deeper understanding of the markets, financial products, and regulatory environment to make more informed investment decisions.
Entrepreneurs and Business Owners: Those who want to understand how capital markets work, particularly if they are considering raising capital for their business through public or private offerings.
Anyone Interested in Finance: Anyone with an interest in learning about the workings of capital markets, including economic factors, financial products, and regulatory frameworks, regardless of their professional background.
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