Securities Industry Essentials Exam Preparation
Welcome to Franklin Hugh's SIE exam prep. I'm studying for this test myself, and figured I might as well document the journey. These materials are my attempt to make sense of securities regulations without falling asleep.
Fair warning: I add historical context and the occasional observation about why things work the way they do. Turns out knowing the "why" helps the "what" stick better.
7 of 16 Chapters AvailablePrefer diagrams and flowcharts? These interactive infographics break down complex concepts visually.
Primary vs. secondary markets, market participants, and how money flows
Coming SoonCommon stock, preferred stock, ADRs, and why companies issue shares
Coming SoonCorporate bonds, Treasury securities, and the art of lending money
Coming SoonMutual funds, ETFs, and pooled investments
Coming SoonGO bonds, revenue bonds, and why cities borrow money
Study Now Chapter 5T-bills, commercial paper, repos, and short-term debt
Study Now Chapter 6Mutual funds, ETFs, REITs, hedge funds, and DPPs
Study Now Chapter 7Exchanges, OTC markets, brokers, dealers, and dark pools
Study Now Chapter 8Order tickets, clearing, settlement, confirmations, and dividend dates
Study NowAccount types, registration, and suitability
Coming SoonAccount opening, CIP/KYC/AML, Regulation S-P, Reg BI, Form CRS, and senior investor protections
Study Now Chapter 11Regulation T, leverage, short selling, and minimum maintenance requirements
Study NowEconomic indicators and fundamental analysis
Coming SoonLimited partnerships and tax shelters
Coming SoonIRAs, 401(k)s, and qualified plans
Study NowCompliance, ethics, and keeping your license
Coming SoonEverything else you need to know
Coming Soon