Do you want to PASS the SIE EXAM? If so, THIS is a great video for you.

Suzy made this video based upon a student request. This is the LONGEST video to date she has made!

Let us know if you have a topic you would like to see Suzy cover in the comments to this video!

This Questions of the Week video covers an ENTIRE SIE FINAL EXAM! That is 75 Securities Industry Essentials (SIE) questions for you! You must feel confident in the topics presented to PASS this exam.

To check out the SIE course:

On of the hardest parts about the SIE exam is that it expects you to know a lot of concepts! It takes time and effort to pass this exam. We believe in you and know that YOU GOT THIS!

Suzy also has courses for those of you studying for your Series 6, 7, 63, 65 and 66 exams!

Check out all our offerings here:

Let’s see what Cherie had to say about Suzy’s SIE course:
“I had taken the SIE twice and “barely” failed so it was obvious something was not clicking with how I was learning and absorbing the material. I had honestly given up hope that I would ever pass. I purchased this course as a hail mary after watching a couple Youtube videos and I am so happy I did! I just passed the SIE on my third attempt and I am convinced it had everything to do with this course! Suzy is wonderful, I felt like I had a private tutor that really cared about my success. I am not sure if she knows but Suzy is my friend for life! lol. To anyone else that has had trouble passing the SIE, do not give up and get this course!!! You can do it 🙂”

Thanks so much for your kind words Cherie, I count all my students as friends!

Please let us know how we can help you on your journey in the securities industry. Just ask in the comments.

#sieexam #sietestprep #FINRAexams

Contents of this Video
0:00 – Intro
0:20 – Question 1 – Regulation S-P
1:03 – Question 2 – Treasury best for inflation
1:39 – Question 3 – Depression
1:58 – Question 4 – Types of 529 plans
2:28 – Question 5 – Best return for comparison purposes
3:00 – 6 – Risk when money is not invested
3:41 – 7 – Sunk costs
4:04 – 8 – $5,000 cash deposits over several days
4:52 – 9 – Life insurance
5:34 – 10 – Stock splits effect on an open order to buy
6:59 – 11 – Political uprising risk
7:19 – 12 – Synonym for carrying broker/dealer
7:45 – 13 – Shelf registration
8:28 – 14 – Not an unsystematic risk
9:12 – 15 – Options
9:48 – 16 – UITs
10:17 – 17 – Regulation BI
10:57 – 18 – Loan
11:31 – 19 – Communication Records
11:58 – 20 – ADRs
12:48 – 21 – What activities are allowed once an application is submitted
13:11 – 22 – Unsecured short-term corporate debt
13:47 – 23 – Markets
14:27 – 24 – How long to reapply without having to retest
14:54 – Maintaining Qualification Program (MQP)
15:32 – 25 – Client buys stock out of b/d inventory
16:23 – 26 – Measurements of market sentiment
16:56 – 27 – Annuity payout options
17:30 – 28 – ETFs
17:56 – 29 – Stock dividends
18:31 – 30 – New muni bond disclosure document
19:03 – 31 – HSAs
19:29 – 32 – Right of cumulative preferred stockholder
20:26 – 33 – Risk related to failure of a company
20:45 – 34 – Complaints
21:27 – 35 – Business Continuity Plan
22:09 – 36 – Bond Rating
22:43 – 37 – Dividend
23:02 – 38 – Program Disclosure Document
23:39 – 39 – ESA funding date
24:09 – 40 – Electronic communications
24:41 – 41 – Mutual fund dividends
25:13 – 42 – Fed securities law that regulates the secondary market
25:53 – 43 – Portfolio of callable bonds
27:16 – 44 – Proxy statement
27:36 – 45 – Trust created during maker’s lifetime
27:51 – 46 – Rumors via social media
28:17 – 47 – ETNs
28:42 – 48 – A security
28:59 – 49 – Margin maintenance requirements
29:40 – 50 – Accredited investor
31:17 – 51 – Hedge a portfolio against market risk
31:54 – 52 – Risk an importer should be aware of
32:13 – 53 – Highly leveraged company
32:30 – 54 – Statutory disqualification
33:02 – 55 – Unregistered persons
33:24 – 56 – CBOE fingerprint based background checks
34:24 – 57 – Hardest type of business to raise capital for
34:52 – 58 – SDNs
35:47 – 60 – Roth IRA
37:06 – 61 – Trusts
37:54 – 62 – Cost basis on inherited asset
38:50 – 63 – Hedge funds
39:08 – 64 – DPPs
39:25 – 65 – PFOF
40:08 – 66 – Form filed to register
40:36 – 67 – Institutional trades
41:27 – 68 – Long a call most make
41:35 – Hardest part of the SIE exam – WHIPLASH
42:52 – 69 – Bank CD risk at maturity
43:46 – 70 – Not an insider
44:41 – 71 – Not an equity security
45:01 – 72 – Equity security best for income
45:55 – 73 – Debt of foreign countries
46:08 – 74 – Who oversees the securities industry
46:39 – 75 – Non-cash compensation
47:00 – How did we do?
47:11 – SIE Exam broken down into four sections
47:22 – Topics within each section
47:45 – Make your CORRECTIONS to PASS
48:23 – Hardest part of the SIE EXAM
49:00 – THANK YOU…(read more)

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The SIE (Securities Industry Essentials) exam is a crucial step for individuals who want to pursue a career in the securities industry in the United States. This exam is designed to test candidates’ knowledge of fundamental securities industry concepts and practices. To help you prepare for the exam, we have compiled a list of 75 SIE exam questions, covering important topics that you need to know to pass your exam.

1. What is the primary role of the Securities and Exchange Commission (SEC)?

2. Define a security and provide examples.

3. What is the difference between primary and secondary markets?

4. How do stocks and bonds differ in terms of ownership and interest payments?

5. What is the purpose of the prospectus?

6. Explain the concept of market capitalization.

7. Describe the process of initial public offerings (IPOs).

8. What are the major types of orders in the securities market?

9. How do limit orders differ from market orders?

10. Define bid and ask prices.

11. What is a margin account, and how does it differ from a cash account?

12. Explain the process of short selling.

13. How are dividends and capital gains taxed?

14. What is the difference between a closed-end and an open-end investment company?

15. Describe the characteristics of common and preferred stock.

16. What is the role of a transfer agent?

17. What is the Financial Industry Regulatory Authority (FINRA) responsible for?

18. Explain the purpose of the Central Registration Depository (CRD).

19. Describe the Know Your Customer (KYC) rule.

20. What are the major provisions of the Securities Act of 1933?

21. Define blue-chip stocks and penny stocks.

22. Explain the concept of diversification.

23. What is a mutual fund, and how does it operate?

24. How do exchange-traded funds (ETFs) differ from mutual funds?

25. Describe the major types of bonds.

26. What are the risks associated with investing in bonds?

27. What is the yield-to-maturity (YTM) of a bond?

28. Explain the concept of duration in fixed-income investments.

29. What is a municipal bond, and how does it differ from other types of bonds?

30. Describe the major types of retirement accounts.

31. How are IRA contributions taxed?

32. Explain the concept of dollar-cost averaging.

33. What is the difference between a traditional and a Roth IRA?

34. Describe the major types of annuities.

35. How do annuities differ from other investment products?

36. Explain the roles of broker-dealers and investment advisors.

37. What is the definition of fiduciary duty?

38. Describe the major types of investment risks.

39. What is the difference between systematic and unsystematic risk?

40. Explain the concept of beta in relation to investment risk.

41. Describe the major factors that affect bond prices.

42. What is the difference between primary and secondary market trading?

43. Explain the concept of margin in options trading.

44. What is a call option, and how does it work?

45. Describe the major types of investment strategies.

46. What is the concept of dollar-weighted returns?

47. Explain the role of portfolio diversification in risk management.

48. What is the difference between traditional and alternative investments?

49. Describe the major types of alternative investments.

50. What is the purpose of the Dodd-Frank Wall Street Reform and Consumer Protection Act?

51. Explain the concept of insider trading and its legal implications.

52. What are the major types of market indicators?

53. Describe the major types of market orders.

54. What is the difference between a stop order and a stop-limit order?

55. Explain the role of market makers.

56. Describe the major types of investment return calculations.

57. What is the difference between nominal and real rates of return?

58. Explain the concept of risk tolerance.

59. What is the purpose of investment policy statements?

60. Define the concept of margin and its impact on investment returns.

61. Describe the major types of technical analysis methods.

62. Explain the concept of support and resistance levels in technical analysis.

63. What are the major types of equity securities?

64. Describe the factors that can affect stock prices.

65. Explain the concept of earnings per share (EPS).

66. What is the difference between a growth and a value stock?

67. Describe the major types of market orders.

68. What are the major types of investment company registration forms?

69. Explain the concept of leverage in investing.

70. What is the role of the Securities Investor Protection Corporation (SIPC)?

71. Describe the concept of asset allocation in investment management.

72. What are the major types of investments suitable for conservative investors?

73. Explain the concept of dollar-cost averaging in investing.

74. What is the purpose of investment objectives?

75. Describe the major types of risk management strategies.

By thoroughly reviewing and understanding these 75 exam questions, you will be well-prepared for your SIE exam. Remember to study and practice regularly to reinforce your knowledge and increase your chances of passing the exam with flying colors. Good luck on your journey to a successful career in the securities industry!