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Wiley Securities Industry Essentials Exam Review 2019

Paperback

$40.00

Wiley Securities Industry Essentials Exam Review 2019

Wiley

ISBN: 978-1-119-55227-7 January 2019 416 Pages

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Description

Created by the experts at The Securities Institute of America, Inc., Wiley Securities Industry Essentials Exam Review Study Guide 2019 arms you with what you need to score high on the test and pass the SIE Exam. Designed to let you build and fine-tune your knowledge of all areas covered and guarantee that you’re prepared mentally and strategically to take the test.

Equity and Debt Securities

Introduction to Equity Securities 3

Why Do People Buy Stock? 15

Dividends, Rights, Warrants, and ADRs 25

Introduction to Debt Securities 41

Types of Corporate Bonds 53

Municipal Bonds 65

Government and Government Agency Issues 73

The Money Market 85

Economics, Corporate Fundamentals, Issuing, and Trading Securities

An Introduction to Economics and Corporate Fundamentals 95

Issuing and Offering Corporate Securities 119

The Underwriting Syndicate and Exempt Transactions 133

Issuing Municipal Securities 151

Trading Securities in the Secondary Market 171

The Role of Broker Dealers and Nasdaq 179

Options, Investment Companies, Variable Annuities, and Retirement Plans

Option Basics 201

Using Options to Hedge a Position and Exercising Options 217

Investment Companies and Mutual Funds 233

Mutual Fund Investment Objectives, Valuation, and Sales Charges 241

Variable Annuities 259

Individual and Corporate Retirement Plans 271

Customer Accounts, Client Recommendations, Professional Conduct, and Industry Regulations

Customer Accounts, UGMAs, Accounts for Employees of Broker Dealers, and Customer Privacy 291

Employee Conduct and Reportable Events 315

Customer Recommendations, Professional Conduct, and Taxation 327

Securities Industry Rules and Regulations 343

Registration of Agents and Continuing Education 351

Communications with the Public, Dispute Resolution, Insider Trading, SIPC, and AML 361

Answer Key 389