Learn Finra Securities Industry Essentials (Sie) Training

Learn Finra Securities Industry Essentials (Sie) Training
Published 3/2025
MP4 | Video: h264, 1920×1080 | Audio: AAC, 44.1 KHz

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

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 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 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