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SIE Exam flashcards

SIE Exam 2024

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

By: Adam Faircloth
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Decks in this class (20)

Chapter 1: Regulation
What is the sec s primary purpose,
Msrb,
Finra oversees
33  cards
Chapter 2: Market Participants and Market Structure
Venture capitalist,
Angel capitalist,
Institutional investors
53  cards
Chapter 3: Economic Factors
Boom,
Recession,
Four stages of the economic cycle
61  cards
Chapter 4: Types of Offering
Public offerings,
Private offerings reg d,
Underwriting commitment
73  cards
Chapter 5: Equity Securities
Equity security,
Common stock,
Preferred stock
55  cards
Chapter 6: An Introduction to Debt Instruments
Debt instrument,
What are some examples of long te...,
What are some examples of medium ...
42  cards
Chapter 7: Types of Debt Instruments
Debt instrument,
Long term debt instruments,
Middle or short term debt instrum...
94  cards
Chapter 8: Packaged Products
Packaged products,
Packaged products also include what,
Investment company
25  cards
Chapter 9: Variable Contracts and Municipal Fund Securities
0  cards
Chapter 10: Alternative Investments
0  cards
Chapter 11: Understanding Option Fundamentals
0  cards
Chapter 12: Investment Returns
0  cards
Chapter 13: Investment Returns
0  cards
Chapter 14: Orders and Trading Strategies
1  cards
Chapter 15: Settlement and Corporate Actions
0  cards
Chapter 16: Customer Accounts
0  cards
Chapter 17: Compliance Considerations
0  cards
Chapter 18: Prohibited Activities
0  cards
Chapter 19: SRO Requirements for Associated Persons
0  cards
Chapter 20: Employee Conduct and Reportable Events
0  cards

More about
SIE Exam 2024

  • Class purpose General learning

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