This class was created by Brainscape user David Giles. Visit their profile to learn more about the creator.
By:
David Giles
- decks
- flashcards
- learners
Decks in this class (34)
1.1.1 The Securities and Exchange Commission (SEC)
If you are reading this, you are probably preparing for the Securities Industry Essentials (SIE) Exam. My goal in creating this bank of flashcards is to help you on that path. At the moment, you are access a certain amount of decks for free. However, in order to access all of them, you will need to upgrade to a Pro subscription with Brainscape. The good news is that, by using the discount code AVERYROCK, you can get a 10% discount off that price.
23
cards
1.1.2 Self-regulatory Organizations (SROs)
If you are reading this, you are probably preparing for the Securities Industry Essentials (SIE) Exam. My goal in creating this bank of flashcards is to help you on that path. At the moment, you are access a certain amount of decks for free. However, in order to access all of them, you will need to upgrade to a Pro subscription with Brainscape. The good news is that, by using my discount code AVERYROCK, you can get a 10% discount off that price.
20
cards
1.1.3 Other Regulators and Agencies
A brokerage firm goes bankrupt an...,
Which entity is primarily respons...,
An investor wants to ensure that ...
20
cards
1.1.4 Market Participants and their Roles
A client approaches a broker to p...,
An investment advisor suggests a ...,
A company wishes to issue new sha...
20
cards
1.2.1 Types Of Markets
Tom wishes to buy shares of a com...,
A trading venue where buy and sel...,
In which type of market do transa...
20
cards
1.3.1 The Federal Reserve Board’s Impact on Business Activity and Market Stability
Question 1when the federal reserv...,
The federal reserve decides to de...,
If the federal reserve is concern...
20
cards
1.3.2 Business Economic Factors
A company s quarterly earnings re...,
If a nation s gdp grows more slow...,
An investor notices that the fede...
20
cards
1.3.3 International Economic Factors
An american investor is looking a...,
A japanese corporation announces ...,
A significant increase in us inte...
20
cards
1.4 Offerings
What role does an investment bank...,
A company decides to offer additi...,
What is a shelf registration a a ...
20
cards
2.1.1 Equity Securities
0
cards
2.1.2 Debt Instruments
0
cards
2.1.3 Options
0
cards
2.1.4 Packaged Products
0
cards
2.1.5 Municipal Fund Securities
0
cards
2.1.6 Direct Participation Programs (DPPs)
0
cards
2.1.7 Real Estate Investment Trusts (REITs)
0
cards
2.1.8 Hedge Funds
0
cards
2.1.9 Exchange-traded Products (ETPs)
0
cards
2.2 Investment Risks
0
cards
3.1.1 Orders and Strategies
0
cards
3.1.2 Investment Returns
0
cards
3.1.3 Trade Settlement
0
cards
3.1.4 Corporate Actions
0
cards
3.2.1 Account Types and Characteristics
0
cards
3.2.2 Customer Account Registrations
0
cards
3.2.3 Anti-money Laundering (AML)
0
cards
3.2.4 Books and Records and Privacy Requirements
0
cards
3.2.5 Communications with the Public and General Best Interest Obligations and Suitability Requirements
0
cards
3.3.1 Market Manipulation
0
cards
3.3.2 Insider Trading
0
cards
3.3.3 Other Prohibited Activities
0
cards
4.1.1 Registration and Continuing Education
0
cards
4.2.1 Employee Conduct
0
cards
4.2.2 Reportable Events
0
cards
More about
securities industry essentials® (sie®) - sandbox
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study David Giles's Securities Industry Essentials® (SIE®) - Sandbox flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
SIE Exam
- 14 decks
- 1,499 flashcards
- 11,451 learners
Decks:
Equity Securities, Debt Securities, Types Of Bonds, And more!
Securities Industry Essentials (SIE)
- 3 decks
- 59 flashcards
- 1 learners
Decks:
Unit 1, Unit 2, Unit 3, And more!
SIE Essentials Unit 3 Debt Securities
- 2 decks
- 142 flashcards
- 2 learners
Decks:
Debt Securities, Investment Company And Insurance Based P, And more!
