SIE Exam 2025/2026 for Dummies: Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online
Gespeichert in:
| 1. Verfasser: | |
|---|---|
| Format: | Elektronisch E-Book |
| Sprache: | English |
| Veröffentlicht: |
Newark
John Wiley & Sons, Incorporated
2024
|
| Ausgabe: | 4th ed |
| Online-Zugang: | DE-2070s |
| Beschreibung: | Description based on publisher supplied metadata and other sources |
| Beschreibung: | 1 Online-Ressource (419 Seiten) |
| ISBN: | 9781394261895 |
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| 245 | 1 | 0 | |a SIE Exam 2025/2026 for Dummies |b Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online |
| 250 | |a 4th ed | ||
| 264 | 1 | |a Newark |b John Wiley & Sons, Incorporated |c 2024 | |
| 264 | 4 | |c ©2024 | |
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| 500 | |a Description based on publisher supplied metadata and other sources | ||
| 505 | 8 | |a Intro -- Title Page -- Copyright Page -- Table of Contents -- Introduction -- About This Book -- Foolish Assumptions -- Icons Used in This Book -- Beyond the Book -- Where to Go from Here -- Part 1 Get Things Rolling: Starting Your SIE Journey -- Chapter 1 Introducing the SIE (Securities Industry Essentials) Exam -- What Is the SIE Exam, Anyway? -- Profiling the SIE Exam-Taker -- One's Not Enough: Tackling the Corequisite (Top-Off) Exams -- Series 6: Investment Company and Variable Products Representative Exam -- Series 7: General Securities Representative Exam -- Series 22: DPP Representative Exam -- Series 57: Securities Trader Exam -- Series 79: Investment Banking Representative Exam -- Series 82: Private Securities Offerings Representative Exam -- Series 7 + Series 86 + Series 87: Research Analyst Exam -- Series 99: Operations Professional Exam -- Signing Up -- Filling out an application to enroll -- It's a date! Scheduling your exam -- Planning for special accommodations -- Americans with Disabilities Act (ADA) candidates -- English as a Second Language (ESL) candidates -- Just in case: Canceling as an option -- Taking a Peek at the Tested Topics -- Understanding the Exam Format and Other Exam Details -- Reviewing the exam basics -- Practicing on ten additional trial questions -- Mastering the computerized format and features -- Viewing exhibits -- Instant gratification: Receiving and evaluating your score -- You passed! Now what? -- So you need a do-over: Retaking the exam -- Chapter 2 Preparing for the SIE Exam -- Courses and Training Materials: Determining the Best Way to Study -- Back to school: Attending a prep course -- Training-school background -- Qualifications of the course instructor(s) -- Texts, course content, and extra help -- The practical details -- Selecting prep material to study on your own | |
| 505 | 8 | |a Managing Your Study Time Wisely -- Blocking out some time to study -- It's a plan: Getting into a study routine -- Give it a rest: Taking short breaks -- Staying focused from day to day -- Devoting time to practice tests -- Avoiding study groups -- Staying in shape -- Exploring Study Strategies -- Developing Solid Test-Taking Skills -- Read the question carefully -- Look for phrases that lead to the topic tested -- Work with what you have -- Don't obsess -- mark for review -- Keep track of time -- Master the process of elimination -- Maintain your concentration -- Think carefully before changing your answers -- Use the scrap paper wisely -- Knowing When You're Ready -- Chapter 3 Examining and Mastering Question Types -- Familiarizing Yourself with Question Formats -- Working with the straight shooters: The straightforward questions -- Closed-stem questions -- Open-stem questions -- Encountering quirky questions with qualifiers -- Working with extremes: Most, least, best -- Making exceptions: Except or not -- Roman hell: Complex multiple-choice questions -- Imposing order: Ranking questions -- Taking two at a time -- A little mystery: Dealing with an unknown number of correct statements -- Looking at exhibits: Diagram questions -- Shredding the Questions: Tips and Tricks -- Focusing on key information -- Answer me this: Picking the correct answer -- Picking up clues when you're virtually clueless: The process of elimination -- Stop opposing me: Dealing with opposite answers -- Facing Roman numerals: Not as hard as you think -- Don't make the same mistake twice -- Chapter 4 Surviving Test Day -- Composing Yourself the Day Before -- Making the Most of the Morning -- Arriving on the Scene When Taking the Exam at a Physical Location -- Taking advantage of one last chance to cram -- Signing in -- Getting seated -- Tackling the SIE. | |
| 505 | 8 | |a Revealing Your Results: Drumroll, Please . . . -- Part 2 Starting at the Beginning: Basic Security Investments -- Chapter 5 Securities Underwriting: The Process and the Team Players -- Bringing New Issues to the Market -- Starting out: What the issuer does -- Registering securities with the SEC -- Awaiting approval: The cooling-off period -- Holding the required due-diligence meeting -- Registering with the states: Blue skies -- Roll call: Introducing the team players -- Signing an agreement among underwriters -- Committing to the deal: Firm-commitment underwriting -- Taking your best shot: Best-efforts underwriting -- Getting the skinny on the issue and issuer: The prospectus -- Counting the securities along the way -- Getting Up to Speed on the Types of Securities Offerings -- Reviewing Exemptions -- Exempt securities -- Exempt transactions -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 6 Equity Securities: Corporate Ownership -- Beginning with the Basics: Common Stock -- Understanding a shareholder's voting rights -- Statutory (regular) voting -- Cumulative voting -- Proxies: Voting by mail -- Categorizing shares corporations can sell -- Establishing the par value of common stock -- Considering corporate actions -- Splitting common stock -- Forward stock splits -- Reverse stock splits -- Sharing corporate profits through dividends -- Cash dividends -- Stock dividends -- Getting Preferential Treatment: Preferred Stock -- Considering characteristics of preferred stock -- Getting familiar with types of preferred stock -- Securities with a Twist -- Opening national borders: ADRs -- Rights: The right to buy new shares at a discount -- Warrants: The right to buy shares of stock at a fixed price -- Testing Your Knowledge -- Practice questions -- Answers and explanations | |
| 505 | 8 | |a Chapter 7 Debt Securities: Corporate and U.S. Government Loans -- Tackling Bond Terms, Types, and Traits -- Covering bond terminology -- Following bond issue and maturity schedules -- Comparing secured and unsecured bonds -- Making Basic Bond Price and Yield Calculations -- Nominal yield (coupon rate) -- Current yield -- Yield to maturity (basis) -- Yield to call -- Yield to worst -- Total return -- Basis point -- Accrued interest -- Determining the Best Investment: Comparing Corporate Bonds -- Considering bond credit ratings -- Contrasting callable and putable (put) bonds -- Popping the top on convertible bonds -- Exploring U.S. Government Securities -- Understanding the types of U.S. government securities -- Looking at agency securities -- Playing It Safe: Short-Term Loans or Money Market Instruments -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 8 Municipal Bonds: Local Government Debt Securities -- General Obligation (GO) Bonds: Backing Bonds with Taxes -- General characteristics of GOs -- Analyzing GO bonds -- Ascertaining marketability -- Dealing with debt -- Bringing in taxes, fees, and fines -- Revenue Bonds: Raising Money for Utilities and Such -- General characteristics of revenue bonds -- Analyzing revenue bonds -- The Primary Market: Bringing New Municipal Bonds to Market -- Allocation of orders -- Definitions for new issues -- Examining Other Types of Municipal Bonds on the Test -- Taxing Build America Bonds (BABs): Taxable Municipal Bonds -- Municipal Notes: Securing Short-Term Financing -- Taking a Closer Look at Municipal Fund Securities -- Section 529 savings plans -- ABLE (Achieving a Better Life Experience) accounts -- LGIPs (Local Government Investment Pools) -- Understanding the Taxes on Municipal Bonds -- Comparing municipal and corporate bonds equally | |
| 505 | 8 | |a Scot-free! Taking a look at triple tax-free municipal bonds -- Following Municipal Bond Rules -- Confirmations -- Advertising and record keeping -- Gifts -- Commissions -- Gathering Municipal Bond Info -- The bond resolution (indenture) -- Legal opinion -- Official statement -- "G" That's a Whole Lot of Rules -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Part 3 Diving Deeper: Taking a Look at More Complex Securities -- Chapter 9 Delivering Diversification with Packaged Securities -- Looking at Investment Company Registration -- Diversifying through Management Investment Companies -- Comparing open- and closed-end funds -- Open-end (mutual) funds -- Closed-end funds -- Open and closed: Focusing on their differences -- Keeping your customer's investment objectives in mind -- Hedge funds: What are they? -- Dealing with discounts -- Breakpoints -- Breakpoint sales -- Letters of intent -- Figuring the sales charge and public offering price of open-end funds -- Sales charge percent -- Public offering price (POP) -- Classifying the load -- Considering Other Investment Company Options -- Face-amount certificate companies -- Unit investment trusts -- Exchange-traded products (funds and notes) -- Exchange-traded funds -- Exchange-traded notes -- Investment company rules 17a-6 and 17a-7 -- Adding Annuities to a Portfolio -- Looking at fixed annuities -- Focusing on variable annuities -- Putting money into (and receiving money from) annuities -- The pay-in (accumulation) phase -- Getting the payout -- Being mindful of the early withdrawal penalty -- Understanding the Investment Component of Variable Life Insurance Products -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 10 Working with Direct Participation Programs (DPPs) and REITs -- Searching for Identity: What DPPs Are (and Aren't) | |
| 505 | 8 | |a The DPP Characters: General and Limited Partners | |
| 776 | 0 | 8 | |i Erscheint auch als |n Druck-Ausgabe |a Rice, Steven M. |t SIE Exam 2025/2026 for Dummies |d Newark : John Wiley & Sons, Incorporated,c2024 |z 9781394261871 |
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Datensatz im Suchindex
| _version_ | 1810600641254391808 |
|---|---|
| adam_text | |
| any_adam_object | |
| author | Rice, Steven M. |
| author_facet | Rice, Steven M. |
| author_role | aut |
| author_sort | Rice, Steven M. |
| author_variant | s m r sm smr |
| building | Verbundindex |
| bvnumber | BV049875465 |
| collection | ZDB-30-PQE |
| contents | Intro -- Title Page -- Copyright Page -- Table of Contents -- Introduction -- About This Book -- Foolish Assumptions -- Icons Used in This Book -- Beyond the Book -- Where to Go from Here -- Part 1 Get Things Rolling: Starting Your SIE Journey -- Chapter 1 Introducing the SIE (Securities Industry Essentials) Exam -- What Is the SIE Exam, Anyway? -- Profiling the SIE Exam-Taker -- One's Not Enough: Tackling the Corequisite (Top-Off) Exams -- Series 6: Investment Company and Variable Products Representative Exam -- Series 7: General Securities Representative Exam -- Series 22: DPP Representative Exam -- Series 57: Securities Trader Exam -- Series 79: Investment Banking Representative Exam -- Series 82: Private Securities Offerings Representative Exam -- Series 7 + Series 86 + Series 87: Research Analyst Exam -- Series 99: Operations Professional Exam -- Signing Up -- Filling out an application to enroll -- It's a date! Scheduling your exam -- Planning for special accommodations -- Americans with Disabilities Act (ADA) candidates -- English as a Second Language (ESL) candidates -- Just in case: Canceling as an option -- Taking a Peek at the Tested Topics -- Understanding the Exam Format and Other Exam Details -- Reviewing the exam basics -- Practicing on ten additional trial questions -- Mastering the computerized format and features -- Viewing exhibits -- Instant gratification: Receiving and evaluating your score -- You passed! Now what? -- So you need a do-over: Retaking the exam -- Chapter 2 Preparing for the SIE Exam -- Courses and Training Materials: Determining the Best Way to Study -- Back to school: Attending a prep course -- Training-school background -- Qualifications of the course instructor(s) -- Texts, course content, and extra help -- The practical details -- Selecting prep material to study on your own Managing Your Study Time Wisely -- Blocking out some time to study -- It's a plan: Getting into a study routine -- Give it a rest: Taking short breaks -- Staying focused from day to day -- Devoting time to practice tests -- Avoiding study groups -- Staying in shape -- Exploring Study Strategies -- Developing Solid Test-Taking Skills -- Read the question carefully -- Look for phrases that lead to the topic tested -- Work with what you have -- Don't obsess -- mark for review -- Keep track of time -- Master the process of elimination -- Maintain your concentration -- Think carefully before changing your answers -- Use the scrap paper wisely -- Knowing When You're Ready -- Chapter 3 Examining and Mastering Question Types -- Familiarizing Yourself with Question Formats -- Working with the straight shooters: The straightforward questions -- Closed-stem questions -- Open-stem questions -- Encountering quirky questions with qualifiers -- Working with extremes: Most, least, best -- Making exceptions: Except or not -- Roman hell: Complex multiple-choice questions -- Imposing order: Ranking questions -- Taking two at a time -- A little mystery: Dealing with an unknown number of correct statements -- Looking at exhibits: Diagram questions -- Shredding the Questions: Tips and Tricks -- Focusing on key information -- Answer me this: Picking the correct answer -- Picking up clues when you're virtually clueless: The process of elimination -- Stop opposing me: Dealing with opposite answers -- Facing Roman numerals: Not as hard as you think -- Don't make the same mistake twice -- Chapter 4 Surviving Test Day -- Composing Yourself the Day Before -- Making the Most of the Morning -- Arriving on the Scene When Taking the Exam at a Physical Location -- Taking advantage of one last chance to cram -- Signing in -- Getting seated -- Tackling the SIE. Revealing Your Results: Drumroll, Please . . . -- Part 2 Starting at the Beginning: Basic Security Investments -- Chapter 5 Securities Underwriting: The Process and the Team Players -- Bringing New Issues to the Market -- Starting out: What the issuer does -- Registering securities with the SEC -- Awaiting approval: The cooling-off period -- Holding the required due-diligence meeting -- Registering with the states: Blue skies -- Roll call: Introducing the team players -- Signing an agreement among underwriters -- Committing to the deal: Firm-commitment underwriting -- Taking your best shot: Best-efforts underwriting -- Getting the skinny on the issue and issuer: The prospectus -- Counting the securities along the way -- Getting Up to Speed on the Types of Securities Offerings -- Reviewing Exemptions -- Exempt securities -- Exempt transactions -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 6 Equity Securities: Corporate Ownership -- Beginning with the Basics: Common Stock -- Understanding a shareholder's voting rights -- Statutory (regular) voting -- Cumulative voting -- Proxies: Voting by mail -- Categorizing shares corporations can sell -- Establishing the par value of common stock -- Considering corporate actions -- Splitting common stock -- Forward stock splits -- Reverse stock splits -- Sharing corporate profits through dividends -- Cash dividends -- Stock dividends -- Getting Preferential Treatment: Preferred Stock -- Considering characteristics of preferred stock -- Getting familiar with types of preferred stock -- Securities with a Twist -- Opening national borders: ADRs -- Rights: The right to buy new shares at a discount -- Warrants: The right to buy shares of stock at a fixed price -- Testing Your Knowledge -- Practice questions -- Answers and explanations Chapter 7 Debt Securities: Corporate and U.S. Government Loans -- Tackling Bond Terms, Types, and Traits -- Covering bond terminology -- Following bond issue and maturity schedules -- Comparing secured and unsecured bonds -- Making Basic Bond Price and Yield Calculations -- Nominal yield (coupon rate) -- Current yield -- Yield to maturity (basis) -- Yield to call -- Yield to worst -- Total return -- Basis point -- Accrued interest -- Determining the Best Investment: Comparing Corporate Bonds -- Considering bond credit ratings -- Contrasting callable and putable (put) bonds -- Popping the top on convertible bonds -- Exploring U.S. Government Securities -- Understanding the types of U.S. government securities -- Looking at agency securities -- Playing It Safe: Short-Term Loans or Money Market Instruments -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 8 Municipal Bonds: Local Government Debt Securities -- General Obligation (GO) Bonds: Backing Bonds with Taxes -- General characteristics of GOs -- Analyzing GO bonds -- Ascertaining marketability -- Dealing with debt -- Bringing in taxes, fees, and fines -- Revenue Bonds: Raising Money for Utilities and Such -- General characteristics of revenue bonds -- Analyzing revenue bonds -- The Primary Market: Bringing New Municipal Bonds to Market -- Allocation of orders -- Definitions for new issues -- Examining Other Types of Municipal Bonds on the Test -- Taxing Build America Bonds (BABs): Taxable Municipal Bonds -- Municipal Notes: Securing Short-Term Financing -- Taking a Closer Look at Municipal Fund Securities -- Section 529 savings plans -- ABLE (Achieving a Better Life Experience) accounts -- LGIPs (Local Government Investment Pools) -- Understanding the Taxes on Municipal Bonds -- Comparing municipal and corporate bonds equally Scot-free! Taking a look at triple tax-free municipal bonds -- Following Municipal Bond Rules -- Confirmations -- Advertising and record keeping -- Gifts -- Commissions -- Gathering Municipal Bond Info -- The bond resolution (indenture) -- Legal opinion -- Official statement -- "G" That's a Whole Lot of Rules -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Part 3 Diving Deeper: Taking a Look at More Complex Securities -- Chapter 9 Delivering Diversification with Packaged Securities -- Looking at Investment Company Registration -- Diversifying through Management Investment Companies -- Comparing open- and closed-end funds -- Open-end (mutual) funds -- Closed-end funds -- Open and closed: Focusing on their differences -- Keeping your customer's investment objectives in mind -- Hedge funds: What are they? -- Dealing with discounts -- Breakpoints -- Breakpoint sales -- Letters of intent -- Figuring the sales charge and public offering price of open-end funds -- Sales charge percent -- Public offering price (POP) -- Classifying the load -- Considering Other Investment Company Options -- Face-amount certificate companies -- Unit investment trusts -- Exchange-traded products (funds and notes) -- Exchange-traded funds -- Exchange-traded notes -- Investment company rules 17a-6 and 17a-7 -- Adding Annuities to a Portfolio -- Looking at fixed annuities -- Focusing on variable annuities -- Putting money into (and receiving money from) annuities -- The pay-in (accumulation) phase -- Getting the payout -- Being mindful of the early withdrawal penalty -- Understanding the Investment Component of Variable Life Insurance Products -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 10 Working with Direct Participation Programs (DPPs) and REITs -- Searching for Identity: What DPPs Are (and Aren't) The DPP Characters: General and Limited Partners |
| ctrlnum | (ZDB-30-PQE)EBC31309737 (ZDB-30-PAD)EBC31309737 (ZDB-89-EBL)EBL31309737 (OCoLC)1432598468 (DE-599)BVBBV049875465 |
| edition | 4th ed |
| format | Electronic eBook |
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elimination -- Maintain your concentration -- Think carefully before changing your answers -- Use the scrap paper wisely -- Knowing When You're Ready -- Chapter 3 Examining and Mastering Question Types -- Familiarizing Yourself with Question Formats -- Working with the straight shooters: The straightforward questions -- Closed-stem questions -- Open-stem questions -- Encountering quirky questions with qualifiers -- Working with extremes: Most, least, best -- Making exceptions: Except or not -- Roman hell: Complex multiple-choice questions -- Imposing order: Ranking questions -- Taking two at a time -- A little mystery: Dealing with an unknown number of correct statements -- Looking at exhibits: Diagram questions -- Shredding the Questions: Tips and Tricks -- Focusing on key information -- Answer me this: Picking the correct answer -- Picking up clues when you're virtually clueless: The process of elimination -- Stop opposing me: Dealing with opposite answers -- Facing Roman numerals: Not as hard as you think -- Don't make the same mistake twice -- Chapter 4 Surviving Test Day -- Composing Yourself the Day Before -- Making the Most of the Morning -- Arriving on the Scene When Taking the Exam at a Physical Location -- Taking advantage of one last chance to cram -- Signing in -- Getting seated -- Tackling the SIE.</subfield></datafield><datafield tag="505" ind1="8" ind2=" "><subfield code="a">Revealing Your Results: Drumroll, Please . . . -- Part 2 Starting at the Beginning: Basic Security Investments -- Chapter 5 Securities Underwriting: The Process and the Team Players -- Bringing New Issues to the Market -- Starting out: What the issuer does -- Registering securities with the SEC -- Awaiting approval: The cooling-off period -- Holding the required due-diligence meeting -- Registering with the states: Blue skies -- Roll call: Introducing the team players -- Signing an agreement among underwriters -- Committing to the deal: Firm-commitment underwriting -- Taking your 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Understanding the types of U.S. government securities -- Looking at agency securities -- Playing It Safe: Short-Term Loans or Money Market Instruments -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 8 Municipal Bonds: Local Government Debt Securities -- General Obligation (GO) Bonds: Backing Bonds with Taxes -- General characteristics of GOs -- Analyzing GO bonds -- Ascertaining marketability -- Dealing with debt -- Bringing in taxes, fees, and fines -- Revenue Bonds: Raising Money for Utilities and Such -- General characteristics of revenue bonds -- Analyzing revenue bonds -- The Primary Market: Bringing New Municipal Bonds to Market -- Allocation of orders -- Definitions for new issues -- Examining Other Types of Municipal Bonds on the Test -- Taxing Build America Bonds (BABs): Taxable Municipal Bonds -- Municipal Notes: Securing Short-Term Financing -- Taking a Closer Look at Municipal Fund Securities -- Section 529 savings plans -- ABLE 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| id | DE-604.BV049875465 |
| illustrated | Not Illustrated |
| indexdate | 2024-09-19T05:22:08Z |
| institution | BVB |
| isbn | 9781394261895 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-035214923 |
| oclc_num | 1432598468 |
| open_access_boolean | |
| owner | DE-2070s |
| owner_facet | DE-2070s |
| physical | 1 Online-Ressource (419 Seiten) |
| psigel | ZDB-30-PQE ZDB-30-PQE HWR_PDA_PQE |
| publishDate | 2024 |
| publishDateSearch | 2024 |
| publishDateSort | 2024 |
| publisher | John Wiley & Sons, Incorporated |
| record_format | marc |
| spelling | Rice, Steven M. Verfasser aut SIE Exam 2025/2026 for Dummies Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online 4th ed Newark John Wiley & Sons, Incorporated 2024 ©2024 1 Online-Ressource (419 Seiten) txt rdacontent c rdamedia cr rdacarrier Description based on publisher supplied metadata and other sources Intro -- Title Page -- Copyright Page -- Table of Contents -- Introduction -- About This Book -- Foolish Assumptions -- Icons Used in This Book -- Beyond the Book -- Where to Go from Here -- Part 1 Get Things Rolling: Starting Your SIE Journey -- Chapter 1 Introducing the SIE (Securities Industry Essentials) Exam -- What Is the SIE Exam, Anyway? -- Profiling the SIE Exam-Taker -- One's Not Enough: Tackling the Corequisite (Top-Off) Exams -- Series 6: Investment Company and Variable Products Representative Exam -- Series 7: General Securities Representative Exam -- Series 22: DPP Representative Exam -- Series 57: Securities Trader Exam -- Series 79: Investment Banking Representative Exam -- Series 82: Private Securities Offerings Representative Exam -- Series 7 + Series 86 + Series 87: Research Analyst Exam -- Series 99: Operations Professional Exam -- Signing Up -- Filling out an application to enroll -- It's a date! Scheduling your exam -- Planning for special accommodations -- Americans with Disabilities Act (ADA) candidates -- English as a Second Language (ESL) candidates -- Just in case: Canceling as an option -- Taking a Peek at the Tested Topics -- Understanding the Exam Format and Other Exam Details -- Reviewing the exam basics -- Practicing on ten additional trial questions -- Mastering the computerized format and features -- Viewing exhibits -- Instant gratification: Receiving and evaluating your score -- You passed! Now what? -- So you need a do-over: Retaking the exam -- Chapter 2 Preparing for the SIE Exam -- Courses and Training Materials: Determining the Best Way to Study -- Back to school: Attending a prep course -- Training-school background -- Qualifications of the course instructor(s) -- Texts, course content, and extra help -- The practical details -- Selecting prep material to study on your own Managing Your Study Time Wisely -- Blocking out some time to study -- It's a plan: Getting into a study routine -- Give it a rest: Taking short breaks -- Staying focused from day to day -- Devoting time to practice tests -- Avoiding study groups -- Staying in shape -- Exploring Study Strategies -- Developing Solid Test-Taking Skills -- Read the question carefully -- Look for phrases that lead to the topic tested -- Work with what you have -- Don't obsess -- mark for review -- Keep track of time -- Master the process of elimination -- Maintain your concentration -- Think carefully before changing your answers -- Use the scrap paper wisely -- Knowing When You're Ready -- Chapter 3 Examining and Mastering Question Types -- Familiarizing Yourself with Question Formats -- Working with the straight shooters: The straightforward questions -- Closed-stem questions -- Open-stem questions -- Encountering quirky questions with qualifiers -- Working with extremes: Most, least, best -- Making exceptions: Except or not -- Roman hell: Complex multiple-choice questions -- Imposing order: Ranking questions -- Taking two at a time -- A little mystery: Dealing with an unknown number of correct statements -- Looking at exhibits: Diagram questions -- Shredding the Questions: Tips and Tricks -- Focusing on key information -- Answer me this: Picking the correct answer -- Picking up clues when you're virtually clueless: The process of elimination -- Stop opposing me: Dealing with opposite answers -- Facing Roman numerals: Not as hard as you think -- Don't make the same mistake twice -- Chapter 4 Surviving Test Day -- Composing Yourself the Day Before -- Making the Most of the Morning -- Arriving on the Scene When Taking the Exam at a Physical Location -- Taking advantage of one last chance to cram -- Signing in -- Getting seated -- Tackling the SIE. Revealing Your Results: Drumroll, Please . . . -- Part 2 Starting at the Beginning: Basic Security Investments -- Chapter 5 Securities Underwriting: The Process and the Team Players -- Bringing New Issues to the Market -- Starting out: What the issuer does -- Registering securities with the SEC -- Awaiting approval: The cooling-off period -- Holding the required due-diligence meeting -- Registering with the states: Blue skies -- Roll call: Introducing the team players -- Signing an agreement among underwriters -- Committing to the deal: Firm-commitment underwriting -- Taking your best shot: Best-efforts underwriting -- Getting the skinny on the issue and issuer: The prospectus -- Counting the securities along the way -- Getting Up to Speed on the Types of Securities Offerings -- Reviewing Exemptions -- Exempt securities -- Exempt transactions -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 6 Equity Securities: Corporate Ownership -- Beginning with the Basics: Common Stock -- Understanding a shareholder's voting rights -- Statutory (regular) voting -- Cumulative voting -- Proxies: Voting by mail -- Categorizing shares corporations can sell -- Establishing the par value of common stock -- Considering corporate actions -- Splitting common stock -- Forward stock splits -- Reverse stock splits -- Sharing corporate profits through dividends -- Cash dividends -- Stock dividends -- Getting Preferential Treatment: Preferred Stock -- Considering characteristics of preferred stock -- Getting familiar with types of preferred stock -- Securities with a Twist -- Opening national borders: ADRs -- Rights: The right to buy new shares at a discount -- Warrants: The right to buy shares of stock at a fixed price -- Testing Your Knowledge -- Practice questions -- Answers and explanations Chapter 7 Debt Securities: Corporate and U.S. Government Loans -- Tackling Bond Terms, Types, and Traits -- Covering bond terminology -- Following bond issue and maturity schedules -- Comparing secured and unsecured bonds -- Making Basic Bond Price and Yield Calculations -- Nominal yield (coupon rate) -- Current yield -- Yield to maturity (basis) -- Yield to call -- Yield to worst -- Total return -- Basis point -- Accrued interest -- Determining the Best Investment: Comparing Corporate Bonds -- Considering bond credit ratings -- Contrasting callable and putable (put) bonds -- Popping the top on convertible bonds -- Exploring U.S. Government Securities -- Understanding the types of U.S. government securities -- Looking at agency securities -- Playing It Safe: Short-Term Loans or Money Market Instruments -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 8 Municipal Bonds: Local Government Debt Securities -- General Obligation (GO) Bonds: Backing Bonds with Taxes -- General characteristics of GOs -- Analyzing GO bonds -- Ascertaining marketability -- Dealing with debt -- Bringing in taxes, fees, and fines -- Revenue Bonds: Raising Money for Utilities and Such -- General characteristics of revenue bonds -- Analyzing revenue bonds -- The Primary Market: Bringing New Municipal Bonds to Market -- Allocation of orders -- Definitions for new issues -- Examining Other Types of Municipal Bonds on the Test -- Taxing Build America Bonds (BABs): Taxable Municipal Bonds -- Municipal Notes: Securing Short-Term Financing -- Taking a Closer Look at Municipal Fund Securities -- Section 529 savings plans -- ABLE (Achieving a Better Life Experience) accounts -- LGIPs (Local Government Investment Pools) -- Understanding the Taxes on Municipal Bonds -- Comparing municipal and corporate bonds equally Scot-free! Taking a look at triple tax-free municipal bonds -- Following Municipal Bond Rules -- Confirmations -- Advertising and record keeping -- Gifts -- Commissions -- Gathering Municipal Bond Info -- The bond resolution (indenture) -- Legal opinion -- Official statement -- "G" That's a Whole Lot of Rules -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Part 3 Diving Deeper: Taking a Look at More Complex Securities -- Chapter 9 Delivering Diversification with Packaged Securities -- Looking at Investment Company Registration -- Diversifying through Management Investment Companies -- Comparing open- and closed-end funds -- Open-end (mutual) funds -- Closed-end funds -- Open and closed: Focusing on their differences -- Keeping your customer's investment objectives in mind -- Hedge funds: What are they? -- Dealing with discounts -- Breakpoints -- Breakpoint sales -- Letters of intent -- Figuring the sales charge and public offering price of open-end funds -- Sales charge percent -- Public offering price (POP) -- Classifying the load -- Considering Other Investment Company Options -- Face-amount certificate companies -- Unit investment trusts -- Exchange-traded products (funds and notes) -- Exchange-traded funds -- Exchange-traded notes -- Investment company rules 17a-6 and 17a-7 -- Adding Annuities to a Portfolio -- Looking at fixed annuities -- Focusing on variable annuities -- Putting money into (and receiving money from) annuities -- The pay-in (accumulation) phase -- Getting the payout -- Being mindful of the early withdrawal penalty -- Understanding the Investment Component of Variable Life Insurance Products -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 10 Working with Direct Participation Programs (DPPs) and REITs -- Searching for Identity: What DPPs Are (and Aren't) The DPP Characters: General and Limited Partners Erscheint auch als Druck-Ausgabe Rice, Steven M. SIE Exam 2025/2026 for Dummies Newark : John Wiley & Sons, Incorporated,c2024 9781394261871 |
| spellingShingle | Rice, Steven M. SIE Exam 2025/2026 for Dummies Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online Intro -- Title Page -- Copyright Page -- Table of Contents -- Introduction -- About This Book -- Foolish Assumptions -- Icons Used in This Book -- Beyond the Book -- Where to Go from Here -- Part 1 Get Things Rolling: Starting Your SIE Journey -- Chapter 1 Introducing the SIE (Securities Industry Essentials) Exam -- What Is the SIE Exam, Anyway? -- Profiling the SIE Exam-Taker -- One's Not Enough: Tackling the Corequisite (Top-Off) Exams -- Series 6: Investment Company and Variable Products Representative Exam -- Series 7: General Securities Representative Exam -- Series 22: DPP Representative Exam -- Series 57: Securities Trader Exam -- Series 79: Investment Banking Representative Exam -- Series 82: Private Securities Offerings Representative Exam -- Series 7 + Series 86 + Series 87: Research Analyst Exam -- Series 99: Operations Professional Exam -- Signing Up -- Filling out an application to enroll -- It's a date! Scheduling your exam -- Planning for special accommodations -- Americans with Disabilities Act (ADA) candidates -- English as a Second Language (ESL) candidates -- Just in case: Canceling as an option -- Taking a Peek at the Tested Topics -- Understanding the Exam Format and Other Exam Details -- Reviewing the exam basics -- Practicing on ten additional trial questions -- Mastering the computerized format and features -- Viewing exhibits -- Instant gratification: Receiving and evaluating your score -- You passed! Now what? -- So you need a do-over: Retaking the exam -- Chapter 2 Preparing for the SIE Exam -- Courses and Training Materials: Determining the Best Way to Study -- Back to school: Attending a prep course -- Training-school background -- Qualifications of the course instructor(s) -- Texts, course content, and extra help -- The practical details -- Selecting prep material to study on your own Managing Your Study Time Wisely -- Blocking out some time to study -- It's a plan: Getting into a study routine -- Give it a rest: Taking short breaks -- Staying focused from day to day -- Devoting time to practice tests -- Avoiding study groups -- Staying in shape -- Exploring Study Strategies -- Developing Solid Test-Taking Skills -- Read the question carefully -- Look for phrases that lead to the topic tested -- Work with what you have -- Don't obsess -- mark for review -- Keep track of time -- Master the process of elimination -- Maintain your concentration -- Think carefully before changing your answers -- Use the scrap paper wisely -- Knowing When You're Ready -- Chapter 3 Examining and Mastering Question Types -- Familiarizing Yourself with Question Formats -- Working with the straight shooters: The straightforward questions -- Closed-stem questions -- Open-stem questions -- Encountering quirky questions with qualifiers -- Working with extremes: Most, least, best -- Making exceptions: Except or not -- Roman hell: Complex multiple-choice questions -- Imposing order: Ranking questions -- Taking two at a time -- A little mystery: Dealing with an unknown number of correct statements -- Looking at exhibits: Diagram questions -- Shredding the Questions: Tips and Tricks -- Focusing on key information -- Answer me this: Picking the correct answer -- Picking up clues when you're virtually clueless: The process of elimination -- Stop opposing me: Dealing with opposite answers -- Facing Roman numerals: Not as hard as you think -- Don't make the same mistake twice -- Chapter 4 Surviving Test Day -- Composing Yourself the Day Before -- Making the Most of the Morning -- Arriving on the Scene When Taking the Exam at a Physical Location -- Taking advantage of one last chance to cram -- Signing in -- Getting seated -- Tackling the SIE. Revealing Your Results: Drumroll, Please . . . -- Part 2 Starting at the Beginning: Basic Security Investments -- Chapter 5 Securities Underwriting: The Process and the Team Players -- Bringing New Issues to the Market -- Starting out: What the issuer does -- Registering securities with the SEC -- Awaiting approval: The cooling-off period -- Holding the required due-diligence meeting -- Registering with the states: Blue skies -- Roll call: Introducing the team players -- Signing an agreement among underwriters -- Committing to the deal: Firm-commitment underwriting -- Taking your best shot: Best-efforts underwriting -- Getting the skinny on the issue and issuer: The prospectus -- Counting the securities along the way -- Getting Up to Speed on the Types of Securities Offerings -- Reviewing Exemptions -- Exempt securities -- Exempt transactions -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 6 Equity Securities: Corporate Ownership -- Beginning with the Basics: Common Stock -- Understanding a shareholder's voting rights -- Statutory (regular) voting -- Cumulative voting -- Proxies: Voting by mail -- Categorizing shares corporations can sell -- Establishing the par value of common stock -- Considering corporate actions -- Splitting common stock -- Forward stock splits -- Reverse stock splits -- Sharing corporate profits through dividends -- Cash dividends -- Stock dividends -- Getting Preferential Treatment: Preferred Stock -- Considering characteristics of preferred stock -- Getting familiar with types of preferred stock -- Securities with a Twist -- Opening national borders: ADRs -- Rights: The right to buy new shares at a discount -- Warrants: The right to buy shares of stock at a fixed price -- Testing Your Knowledge -- Practice questions -- Answers and explanations Chapter 7 Debt Securities: Corporate and U.S. Government Loans -- Tackling Bond Terms, Types, and Traits -- Covering bond terminology -- Following bond issue and maturity schedules -- Comparing secured and unsecured bonds -- Making Basic Bond Price and Yield Calculations -- Nominal yield (coupon rate) -- Current yield -- Yield to maturity (basis) -- Yield to call -- Yield to worst -- Total return -- Basis point -- Accrued interest -- Determining the Best Investment: Comparing Corporate Bonds -- Considering bond credit ratings -- Contrasting callable and putable (put) bonds -- Popping the top on convertible bonds -- Exploring U.S. Government Securities -- Understanding the types of U.S. government securities -- Looking at agency securities -- Playing It Safe: Short-Term Loans or Money Market Instruments -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 8 Municipal Bonds: Local Government Debt Securities -- General Obligation (GO) Bonds: Backing Bonds with Taxes -- General characteristics of GOs -- Analyzing GO bonds -- Ascertaining marketability -- Dealing with debt -- Bringing in taxes, fees, and fines -- Revenue Bonds: Raising Money for Utilities and Such -- General characteristics of revenue bonds -- Analyzing revenue bonds -- The Primary Market: Bringing New Municipal Bonds to Market -- Allocation of orders -- Definitions for new issues -- Examining Other Types of Municipal Bonds on the Test -- Taxing Build America Bonds (BABs): Taxable Municipal Bonds -- Municipal Notes: Securing Short-Term Financing -- Taking a Closer Look at Municipal Fund Securities -- Section 529 savings plans -- ABLE (Achieving a Better Life Experience) accounts -- LGIPs (Local Government Investment Pools) -- Understanding the Taxes on Municipal Bonds -- Comparing municipal and corporate bonds equally Scot-free! Taking a look at triple tax-free municipal bonds -- Following Municipal Bond Rules -- Confirmations -- Advertising and record keeping -- Gifts -- Commissions -- Gathering Municipal Bond Info -- The bond resolution (indenture) -- Legal opinion -- Official statement -- "G" That's a Whole Lot of Rules -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Part 3 Diving Deeper: Taking a Look at More Complex Securities -- Chapter 9 Delivering Diversification with Packaged Securities -- Looking at Investment Company Registration -- Diversifying through Management Investment Companies -- Comparing open- and closed-end funds -- Open-end (mutual) funds -- Closed-end funds -- Open and closed: Focusing on their differences -- Keeping your customer's investment objectives in mind -- Hedge funds: What are they? -- Dealing with discounts -- Breakpoints -- Breakpoint sales -- Letters of intent -- Figuring the sales charge and public offering price of open-end funds -- Sales charge percent -- Public offering price (POP) -- Classifying the load -- Considering Other Investment Company Options -- Face-amount certificate companies -- Unit investment trusts -- Exchange-traded products (funds and notes) -- Exchange-traded funds -- Exchange-traded notes -- Investment company rules 17a-6 and 17a-7 -- Adding Annuities to a Portfolio -- Looking at fixed annuities -- Focusing on variable annuities -- Putting money into (and receiving money from) annuities -- The pay-in (accumulation) phase -- Getting the payout -- Being mindful of the early withdrawal penalty -- Understanding the Investment Component of Variable Life Insurance Products -- Testing Your Knowledge -- Practice questions -- Answers and explanations -- Chapter 10 Working with Direct Participation Programs (DPPs) and REITs -- Searching for Identity: What DPPs Are (and Aren't) The DPP Characters: General and Limited Partners |
| title | SIE Exam 2025/2026 for Dummies Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online |
| title_auth | SIE Exam 2025/2026 for Dummies Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online |
| title_exact_search | SIE Exam 2025/2026 for Dummies Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online |
| title_full | SIE Exam 2025/2026 for Dummies Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online |
| title_fullStr | SIE Exam 2025/2026 for Dummies Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online |
| title_full_unstemmed | SIE Exam 2025/2026 for Dummies Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online |
| title_short | SIE Exam 2025/2026 for Dummies |
| title_sort | sie exam 2025 2026 for dummies securities industry essentials exam prep practice tests flashcards online |
| title_sub | Securities Industry Essentials Exam Prep + Practice Tests + Flashcards Online |
| work_keys_str_mv | AT ricestevenm sieexam20252026fordummiessecuritiesindustryessentialsexampreppracticetestsflashcardsonline |