SmartExamPrep

Same curriculum · reference view

Every SIE lesson, organized for review.

This is a reference projection of the course: the same governed lesson IDs, titles, order, and release state.

Section 1

Capital Markets

  1. 1 Who Gets the Money? Primary vs. Secondary Markets Available
  2. 2 Who Regulates What? SEC, SROs, States, Fed, FDIC, SIPC Available
  3. 3 Who Keeps the Market Moving? Dealers, Market Makers, Custodians, Clearing Available
  4. 4 What Moves the Economy? Policy, Rates, Cycles, Indicators Available
  5. 5 How Securities Reach Investors: Offerings, Underwriting, Disclosure Available

Section 2

Products and Risks

  1. 1 Equity Means Ownership: Common, Preferred, Rights, Warrants, ADRs Available
  2. 2 The Debt Landscape: Treasury, Agency, Corporate, Municipal, Money Market Available
  3. 3 Bond Prices and Yields: The Relationship You Must Know Available
  4. 4 Bond Risk: Ratings, Calls, Conversion, and Sale Methods Available
  5. 5 Options Language: Calls, Puts, Moneyness, and Breakeven Available
  6. 6 Options Positions: Protection, Income, Exercise, Assignment Available
  7. 7 Investment Company Types: Mutual Funds, Closed-End Funds, UITs, Annuities Available
  8. 8 Fund Pricing and Costs: NAV, POP, Share Classes, Breakpoints Available
  9. 9 Municipal Fund Securities: 529 Plans, ABLE Accounts, LGIPs Available
  10. 10 Alternative Structures: DPPs, REITs, Hedge Funds Available
  11. 11 ETF or ETN? Similar Trading, Different Risk Available
  12. 12 Risk Map I: Capital, Credit, Market, and Business Risk Available
  13. 13 Risk Map II: Rates, Inflation, Liquidity, Currency, and Timing Available
  14. 14 Managing Risk: Diversification, Rebalancing, and Hedging Available

Section 3

Trading, Accounts, and Conduct

  1. 1 Reading the Order Ticket: Market, Limit, Stop, Bid, Ask Available
  2. 2 Measuring Return: Gain, Income, Yield, Total Return, Benchmarks Available
  3. 3 After the Trade: Settlement, Book Entry, and Corporate Actions Available
  4. 4 Choosing the Account: Cash, Margin, Options, Discretion, Fees Available
  5. 5 Who Owns the Account? Individual, Joint, Entity, Custodial, Retirement Available
  6. 6 AML Decision Tree: SAR, CTR, FinCEN, OFAC, and SDN Available
  7. 7 Records, Statements, Confirmations, Privacy, Custody, and BCP Available
  8. 8 Recommendations: KYC, Best Interest, Suitability, Communications Available
  9. 9 Manipulation and Trading Abuses: Rumors, Marking, Front Running Available
  10. 10 Insider Trading and Other Prohibited Conduct Available

Section 4

Regulatory Framework

  1. 1 Becoming Registered: SIE Credit, Sponsorship, Categories, CE Available
  2. 2 U4, U5, Complaints, and Conduct Red Flags Available
  3. 3 Outside Activities, Private Transactions, Gifts, and Political Contributions Available