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SIE Exam flashcards

SIE Exam Prep 2 -- SANDBOX

This class was created by Brainscape user Andrew Cohen. Visit their profile to learn more about the creator.

By: Andrew Cohen
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Decks in this class (14)

Equity Securities
This deck focuses on terms and concepts relating to equity securities, including common stock, preferred stock, rights, warrants, and dividend procedures.
102  cards
Debt Securities
This deck focuses on the general characteristics of fixed income securities, including bond pricing, bond yields, and various types of risks associated with bonds.
131  cards
Types of Bonds
This deck focuses on the different types of bonds, including corporate bonds, US Government debt, municipal bonds, and money market instruments.
184  cards
Investment Company Securities
This deck focuses on the terminology and concepts relating to investment company products, including mutual funds, closed-end funds, UITs, and ETFs.
139  cards
Other Managed Products
This deck focuses on the characteristics of REITs, direct participation programs (DPPs), as well as other managed products.
47  cards
Options
This deck focuses on the options market, including basic terminology, options strategies, and options trading.
127  cards
Suitability & Investment Risk
This deck focuses on terms and concepts relating to investor suitability and investment risks.
29  cards
Issuing Securities
This deck focuses on the securities issuance process, including SEC registration, exemptions from registration, and the role of underwriters in bringing new issues to market.
150  cards
Secondary Market & Equity Trading
This deck focuses on the secondary market, including the role of market-makers and equity trading.
111  cards
Economics & Monetary Policy
This deck focuses on important terms and concepts relating to economics and monetary policy including the business cycle, balance of trade, and the role of the Federal Reserve.
130  cards
Customer Accounts
This deck focuses on the customer account opening process, different types of retail accounts and account titles.
130  cards
Tax-Advantaged Accounts & Products
This deck focuses on tax-advantaged accounts, including retirement plans, variable annuities, and municipal fund securities.
96  cards
FINRA Registration
This deck focuses on the FINRA registration of securities firms and professionals.
39  cards
Business Conduct Rules
This deck focuses on various business practice rules within the securities industry, including insider trading, anti-money laundering procedures, communications with the public, and business conduct rules.
84  cards

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SIE Exam Prep 2 -- SANDBOX

  • Class purpose General learning

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