Unlock FINRA SIE, Explore Securities, Trading, Regulatory Requirements, and Advanced Strategies. SIE Exam Prep and Tips
Sub Category
- Finance Cert & Exam Prep
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Objectives
- The structure and function of primary and secondary markets, and how capital markets contribute to economic growth.
- The key players in capital markets, including issuers, investors, intermediaries, and the role of regulatory bodies like the SEC and FINRA.
- The differences between public and private offerings, with a focus on Initial Public Offerings (IPOs), follow-on offerings, and secondary offerings.
- How economic indicators such as GDP, inflation, and unemployment, along with monetary and fiscal policies, influence capital markets.
- Understanding Financial Products and Their Risks.
- Trading Practices and Customer Accounts.
- Explore the Insider trading, Market manipulation, Conflicts of interest, Fiduciary duties, and Anti-Money Laundering (AML) regulations.
- Overview of major regulatory bodies like the SEC, FINRA, CFTC, and OCC.
- Trading rules, operations, and compliance requirements.
- and much more
Pre Requisites
- Willingness or Interest to learn about FINRA and Preparation for the SIE Exams.
FAQ
- Q. How long do I have access to the course materials?
- A. You can view and review the lecture materials indefinitely, like an on-demand channel.
- Q. Can I take my courses with me wherever I go?
- A. Definitely! If you have an internet connection, courses on Udemy are available on any device at any time. If you don't have an internet connection, some instructors also let their students download course lectures. That's up to the instructor though, so make sure you get on their good side!
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