This is a SIE Exam Lesson 4 Free Quiz which is covering Special Securities. Try it and see how you do if you need help listen to the lesson over.

SIE Exam Lesson 4 Free Quiz

This is a SIE Exam Lesson 4 Free Quiz which is covering Preferred Stocks. Try it and see how you do if you need help listen to the lesson over.

Questions covered include

1. These are rights to purchase stock at specific prices that are long-term in nature.

A. purchasing rights

B. preemptive rights

C. option rights

D. warrants

2. To which of the following can warrants be attached to?

A. sale of a common stock

B. sale of a preferred stock

C. sale of a bond

D. all of the above

3. Warrants can be traded but they should be traded along with the stock or bond that comes with them.

A. True

B. False

4. The value of the warrant is based on the ___ that it is tied to.

A. stock

B. dividend of the stock

C. interest rate of the stock

D. par value of the stock

5. Warrants allow trading foreign stocks on the US markets.

A. True

B. False

6. Rights to buy a new stock come about as a result of ___.

A. preemptive rights

B. purchasing rights

C. voting rights

D. warrants

7. How are warrants and rights similar?

A. Both warrants and rights are traded separately from the stock that they are attached to.

B. They both serve as enticement to buy stocks.

C. They are both special securities.

D. all of the above

8. How are warrants and rights different?

A. Warrants are short term in nature while rights are long term in nature.

B. Warrants are long term in nature while rights are short term in nature.

C. Warrants are attached to stocks while rights are not attached to stocks.

D. Rights are attached to stocks while warrants are not attached to stocks.

9. The warrant can be exercised immediately after the issuance of the bond or stock that is attached to it.

A. True

B. False

SIE Exam Lesson 4 Free Quiz: Special Securities: Continued

10. All warrants have expiration dates.

A. True

B. False

11. Why would companies issue warrants?

A. It would lower their tax.

B. It would increase the stock price at the secondary market.

C. It would increase their ability to issue a secondary offering of stocks at a slightly higher price.

D. all of the above

12. In order for a warrant to have an intrinsic value, ___.

A. The warrant must have a price equal to the price of the stock it is attached to.

B. The warrant must have a price higher than the price of the stock it is attached to.

C. The warrant must have a price lower than the price of the stock it is attached to.

D. The warrant must have a constant price regardless of the price of the stock it is attached to.

13. This is a negotiable security that represents securities of a non-U.S. company that trades in the U.S. financial markets.

A. bond

B. right

C. ADR

D. warrant

14. What does ADR stand for?

A. American Dividend Receipts

B. American Differential Receipts

C. American Development Receipts

D. American Depository Receipts

15. The dividends of the ADR are paid ___.

A. in US currency only

B. only in the currency of the country of the investor who bought the ADR

C. in either US currency or the investor’s country currency, whichever has the lower dividend after currency conversion

D. in any currency that the bank offers where the dividend is claimed

16. Non-sponsored ADRs are assembled by banks and brokers without the participation of the issuer of the stock.

A. True

B. False

17. How does the sponsored ADRs and non-sponsored ADRs differ?

A. Issuers of sponsored ADRs does not work with the bank or the broker in creating ADRs while issuers of non-sponsored ADRs work with the bank or the broker in creating ADRs.

B. Issuers of sponsored ADRs must provide annual and quarterly reports in English to the holders of the ADR while this is not required for the issuers of non-sponsored ADRs.

C. Holders of sponsored ADRs have voting and preemptive rights wh...

This is a SIE Exam Lesson 2 Free Quiz which is covering Common Stocks. Try it and see how you do if you need help listen to the lesson over.

SIE Exam Lesson 3 Free Quiz

This is a SIE Exam Lesson 3 Free Quiz which is covering Preferred Stocks. Try it and see how you do if you need help listen to the lesson over.

Questions covered include

1. In which of the following sections of the balance sheet is the common stock placed?

A. asset

B. equity

C. liability

D. revenue

2. A common stockholder owns a portion of the company.

A. True

B. False

3. Which of the following can issue common stock?

A. corporations

B. investment companies

C. both corporations and investment companies

D. neither corporations nor investment companies

4. A no par stock means ___.

A. the stock does not have voting rights

B. the stock does not receive dividends

C. the stock has a negligible or very low par value

D. the stock has no intrinsic value

5. Why do stocks have low par value?

A. A low par value allows more people to buy stocks and therefore increasing the company’s equity.

B. Lowering the par value also lowers the tax of the corporation.

C. The low par value ensures that the corporation issues only a sustainable amount of stock.

D. The New York Stock Exchange rules does not allow high par value.

6. These are shares that have been sold and then bought back by the company.

A. authorized shares

B. issued shares

C. outstanding shares

D. treasury shares

7. Which of the following is not included when computing for a company’s earnings per share?

A. authorized shares

B. issued shares

C. outstanding shares

D. treasury shares

8. The ___ handles the transfer of stock from an old stockholder to a new one.

A. bookkeeper

B. registrar

C. rights agent

D. transfer agent

9. Which of the following is true about the rights of a stockholder?

(Select all that apply.)

A. A stockholder has the right to vote at the company’s annual meeting.

B. The amount of votes that a stockholder has is determined by the number of shares he owns.

C. The stockholder has the right to buy shares of stock before they are offered to somebody else at the issue price.

D. The stockholder’s liability is limited to the value of his stocks.

SIE Exam Lesson 3 Free Quiz: Continued

10. According to the New York Stock Exchange rules, which of the following does NOT require a stockholder vote?

A. clearance of a stock split

B. declaration of a reverse stock split

C. issuance of convertible bonds

D. purchase of treasury stock

11. Under the New York Stock Exchange rules, a stock dividend can be made by the decision of the Board of Directors as long as the stock dividend is less than ___.

A. 10%

B. 15%

C. 20%

D. 25%

12. Only those stockholders present at the annual meeting can vote.

A. True

B. False

13. A stockholder can change his vote on his proxy statement if he attends the annual meeting.

A. True

B. False

14. Which of the following does NOT allow different classes of common stock?

A. American Stock Exchange

B. NASDAQ

C. New York Stock Exchange

D. All stock exchanges allow for different classes of common stock.

15. According to the Securities Act of ___, a common stockholder has the right to inspect the record book of stockholders.

A. 1933

B. 1934

C. 1943

D. 1944

16. Which of the following are negotiable securities according to the New York Stock Exchange rules?

A. certificates of deposit

B. mutual funds

C. savings bond

D. transfer of ownership

17. A stockholder is not allowed to sell his right to buy a stock.

A. True

B. False

18. In the event of a corporate dissolution or bankruptcy, a common stockholder has the right to the corporate assets.

A. True

B. False

19. The normal settlement states that you need to own the stock and be an owner of record at least ___ business days before the record date in order to be a stockholder of record.

A. one

B. two

C. three

D. four

20.

This is a SIE Exam Lesson 1 Free Quiz which is covering Common Stocks. Try it and see how you do if you need help listen to the lesson over.

SIE Exam Lesson 2 Free Quiz

This is a SIE Exam Lesson 1 Free Quiz which is covering Common Stocks. Try it and see how you do if you need help listen to the lesson over.

Questions covered include

1. In which of the following sections of the balance sheet is the common stock placed?

A. asset

B. equity

C. liability

D. revenue

2. A common stockholder owns a portion of the company.

A. True

B. False

3. Which of the following can issue common stock?

A. corporations

B. investment companies

C. both corporations and investment companies

D. neither corporations nor investment companies

4. A no par stock means ___.

A. the stock does not have voting rights

B. the stock does not receive dividends

C. the stock has a negligible or very low par value

D. the stock has no intrinsic value

5. Why do stocks have low par value?

A. A low par value allows more people to buy stocks and therefore increasing the company’s equity.

B. Lowering the par value also lowers the tax of the corporation.

C. The low par value ensures that the corporation issues only a sustainable amount of stock.

D. The New York Stock Exchange rules does not allow high par value.

6. These are shares that have been sold and then bought back by the company.

A. authorized shares

B. issued shares

C. outstanding shares

D. treasury shares

7. Which of the following is not included when computing for a company’s earnings per share?

A. authorized shares

B. issued shares

C. outstanding shares

D. treasury shares

8. The ___ handles the transfer of stock from an old stockholder to a new one.

A. bookkeeper

B. registrar

C. rights agent

D. transfer agent

9. Which of the following is true about the rights of a stockholder?

(Select all that apply.)

A. A stockholder has the right to vote at the company’s annual meeting.

B. The amount of votes that a stockholder has is determined by the number of shares he owns.

C. The stockholder has the right to buy shares of stock before they are offered to somebody else at the issue price.

D. The stockholder’s liability is limited to the value of his stocks.

SIE Exam Lesson 2 Free Quiz Continued:

10. According to the New York Stock Exchange rules, which of the following does NOT require a stockholder vote?

A. clearance of a stock split

B. declaration of a reverse stock split

C. issuance of convertible bonds

D. purchase of treasury stock

11. Under the New York Stock Exchange rules, a stock dividend can be made by the decision of the Board of Directors as long as the stock dividend is less than ___.

A. 10%

B. 15%

C. 20%

D. 25%

12. Only those stockholders present at the annual meeting can vote.

A. True

B. False

13. A stockholder can change his vote on his proxy statement if he attends the annual meeting.

A. True

B. False

14. Which of the following does NOT allow different classes of common stock?

A. American Stock Exchange

B. NASDAQ

C. New York Stock Exchange

D. All stock exchanges allow for different classes of common stock.

15. According to the Securities Act of ___, a common stockholder has the right to inspect the record book of stockholders.

A. 1933

B. 1934

C. 1943

D. 1944

16. Which of the following are negotiable securities according to the New York Stock Exchange rules?

A. certificates of deposit

B. mutual funds

C. savings bond

D. transfer of ownership

17. A stockholder is not allowed to sell his right to buy a stock.

A. True

B. False

18. In the event of a corporate dissolution or bankruptcy, a common stockholder has the right to the corporate assets.

A. True

B. False

19. The normal settlement states that you need to own the stock and be an owner of record at least ___ business days before the record date in order to be a stockholder of record.

A. one

B. two

C. three

D. four

20.

SIE Exam Lesson 59 SECURE Act and Accredited investors

This is SIE Exam Lesson 59 Audio Lessons for the SIE Exam the SECURE Act and Accredited investors you will need to have an understanding of to be able to pass both the SIE exam and the series 7 exam. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 47 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) of the full lesson that we will share with you for the full new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

The full course details:

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

• Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

• Essentials exam results are valid for four years.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

TOTAL 100% 125”

The five job functions of the new Series 7 General Securities Representative Exam will be:

“Seeks business for the broker-dealer through customers and potential customers”

“Evaluates customers’ financial status,

SIE Exam Lesson 47 Margins pt 1

This is SIE Exam Lesson 47 which is the first lesson on Margins you will need to have an understanding of margins to be able to pass both the SIE exam and the series 7 exam. It involves a lot of memorization and can be difficult to absorb. Fortunately after you pass the exams you really don't need to pay much attention to them because you will have a department in your firm which will watch your customers' margins very closely and will notify you when you're customers are in violation of margin rules. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 47 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) of the full lesson that we will share with you for the full new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

The full course details:

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

• Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

• Essentials exam results are valid for four years.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes,

SIE Exam Lesson 46 Macro and Portfolio Analysis

This is SIE Exam Lesson 46 which is going to be covering Macro Analysis and Portfolio analysis in this lesson we continue talking about “Global” or “Macro” approach to investment analysis and add portfolio analysis. We're going to cover analysis in great detail first starting with balance sheets and going on to income statements then to cash flow and then other analysis techniquesThis SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 46 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) of the full lesson that we will share with you for the full new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

The full course details:

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

• Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

• Essentials exam results are valid for four years.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

TOTAL 100% 125”

The five job functions of the new Series 7 General ...

SIE Exam Lesson 39 Analysis Income Statement pt 3

This is SIE Exam Lesson 45 which is going to be covering Macro Analysis in this lesson we start talking about “Global” or “Macro” approach to investment analysis. We're going to cover analysis in great detail first starting with balance sheets and going on to income statements then to cash flow and then other analysis techniquesThis SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 45 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

The full course details:

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

• Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

• Essentials exam results are valid for four years.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

TOTAL 100% 125”

The five job functions of the new Series 7 General Securities Representative Exam will be:

SIE Exam Lesson 39 Analysis Income Statement pt 3

This is SIE Exam Lesson 39 which is going to be covering the third lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 39 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

The full course details:

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

• Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

• Essentials exam results are valid for four years.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

TOTAL 100% 125”

The five job functions of the new Series 7 General Securities Representative Exam will be:

SIE Exam Lesson 38 Analysis Income Statement pt 2

This is SIE Exam Lesson 38 which is going to be covering the second lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 38 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

The full course details:

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Key Features of the Essentials Exam

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• The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

• Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

• Essentials exam results are valid for four years.

The Essentials Exam at a Glance

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Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

TOTAL 100% 125”

The five job functions of the new Series 7 General Securities Representative Exam will be:

SIE Exam Lesson 37 Analysis Income Statement pt 1

This is SIE Exam Lesson 37 which is going to be covering the first lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 36 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 37 hour and 10 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"

Total Course 37 hours 10 Min

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

The full course details:

37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam

New Series 7 Exam and SIE Exam details.

All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..

https://www.finra.org/industry/essentials-exam

“Securities Industry Essentials (SIE) Exam

Available Beginning October 1, 2018

The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Key Features of the Essentials Exam

________________________________________

• The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.

• Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.

• Essentials exam results are valid for four years.

The Essentials Exam at a Glance

________________________________________

Number of Items 75

Format Multiple Choice

Duration 105 minutes

Passing Score 70%

Cost $60”

New Series 7 Exam

The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.

Major Job Functions Percentage of Test Questions Number of Test Questions

(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9

(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11

(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

TOTAL 100% 125”

The five job functions of the new Series 7 General Securities Representative Exam will be: