Securities Industry Essentials (SIE) – Brian Lee
The new Securities Industry Essentials (SIE) exam is based on common industry knowledge and general concepts
Your Instructor
Brian Lee
Brian Lee has been helping students pass their exams for over 20 years. Brian began teaching Series 7 in 1995 in Portland, Or and Seattle, Wa and is the founder of TestGeek Exam Prep, LLC.
Course Curriculum
Introduction
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Downloable Class Notes
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SIE Introduction (19:40)
UNIT 1 Knowledge of Capital Markets
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Lesson 1- SRO’s , Customers and Others (16:12)
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Lesson 2 (21:13)
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Lesson 3 (15:05)
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Lesson 4 (7:10)
UNIT 2 Understanding Products and Their Risks
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Lesson 1- Equity Securities (13:39)
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Lesson 2 – Corporate Debt Securities (23:23)
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Lesson 3 – Gov’t, Municipal and Money Market Securities (17:42)
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Lesson 4 – Options (29:15)
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Lesson 5 – Investment Companies (11:45)
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Lesson 6 – Other Securities Products (12:21)
Unit 3 Trading, Customer Accounts and Prohibited Acitivities
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Lesson 1 (22:18)
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Lesson 2 (19:28)
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Lesson 3 (7:08)
Unit 4 Regulatory Framework
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Lesson 1 (11:21)