Buch, Englisch, 336 Seiten, Format (B × H): 254 mm x 203 mm, Gewicht: 742 g
ISBN: 978-1-394-19524-4
Verlag: John Wiley & Sons Inc
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The perfect companion for everyone preparing for the Securities Industry Essentials exam, SIE Exam: 1001 Practice Questions For Dummies is a fast, efficient, and effective way to prep for the test.
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Weitere Infos & Material
Introduction 1
What You'll Find 1
Beyond the Book 2
Where to Go for Additional Help 2
Part 1: Tackling the Questions 3
Chapter 1: Securities Underwriting: The Process and the Team Players 5
The Problems You'll Work On 5
What to Watch Out For 5
1-35 Bringing New Issues to Market 6
36-43 Types of Securities Offerings 10
44-61 Exempt Securities and Transactions 11
Chapter 2: Equity Securities: Corporate Ownership 15
The Problems You'll Work On 15
What to Watch Out For 15
62-97 Common Stock 16
98-125 Preferred Stock 20
126-141 ADRs, Rights, and Warrants 24
Chapter 3: Debt Securities: Corporate and US Government Loans 27
The Problems You'll Work On 27
What to Watch Out For 27
142-178 Types of Bonds 28
179-208 Price and Yield Calculations 32
209-224 U S Government Securities 36
225-238 Money Market Instruments 37
Chapter 4: Municipal Bonds: Local Government Securities 41
The Problems You'll Work On 41
What to Watch Out For 42
239-268 GO and Revenue Bonds 43
269-275 The Primary Market 47
276-286 Additional Municipal Bonds 48
287-296 Municipal Notes 49
297-302 Municipal Fund Securities 50
303-313 Taxes on Municipal Bonds 51
314-335 Municipal Bond Rules 52
Chapter 5: Delivering Diversification with Packaged Securities 57
The Problems You'll Work On 57
What to Watch Out For 58
336-340 Investment Company Rules 59
341-384 Management Investment Companies 59
385-406 Investment Company Options 65
407-431 Annuities 67
432-436 Variable Life Insurance Products 70
Chapter 6: Working with Direct Participation Programs and REITs 73
The Problems You'll Work On 73
What to Watch Out For 74
437-457 DPPs, General, and Limited Partners 75
458-464 Partnership Paperwork 77
465-470 Passive Gains and Losses 78
471-491 Types of DPPs 79
492-502 REITs 81
Chapter 7: Options: Understanding the Basics of Puts and Calls 83
The Problems You'll Work On 83
What to Watch Out For 84
503-535 Option Basics 85
536-573 Standard Option Math 88
574-602 Option Paperwork and Rules 93
Chapter 8: Customer Accounts: Doing the Right Thing 97
The Problems You'll Work On 97
What to Watch Out For 97
603-622 Opening Accounts 98
623-640 Selecting the Appropriate Type of Account 101
641-664 Margin Accounts 103
665-667 Telephone Act of 1991 106
Chapter 9: Securities Analysis: Doing a Little Market Research 107
The Problems You'll Work On 107
What to Watch Out For 108
668-686 Systematic and Nonsystematic Risk 109
687-709 Fundamental and Technical Analysis 111
710-734 Money Supply and Monetary Policy 114
735-744 Economic Indicators 117
745-752 Cyclical, Defensive, and Growth Investments 118
753-755 Economic Theories 118
Chapter 10: Securities Markets: Taking Orders and Executing Trades 121
The Problems You'll Work On 121
What to Watch Out For 121
756-763 Primary and Secondary Market 122
764-774 Making the Trade 123
775-781 Broker-Dealer 124
782-810 Executing Customer Orders 125
811-815 Types of Investors 129
Chapter 11: Making Sure the IRS Gets Its Share: Taxes and Retirement Plans 131
The Problems You'll Work On 131
What to Watch Out For 132
816-822 Tax Categories and Types of Income 133
823-843 Taxes on Investments 133
844-876 Retirement Plans 137
Chapter 12: Rules and Regulations: No Fooling Around 143
The Problems You'll Work On 143
What to Watch Out For 144
877-892 Securities Regulatory Organizations 145
893-904 FINRA Registration and Reporting Requirements 147
905-957 Trading After the Account Is Open 149
958-993 Additional Rules 156
994-1,001 FDIC and SIPC 161
Part 2: Checking Your Answers 163
Chapter 13: The Answers 165
Chapter 1 Answers 165
Chapter 2 Answers 174
Chapter 3 Answers 187
Chapter 4 Answers 203
Chapter 5 Answers 219
Chapter 6 Answers 234
Chapter 7 Answers 243
Chapter 8 Answers 261
Chapter 9 Answers 272
Chapter 10 Answers 285
Chapter 11 Answers 294
Chapter 12 Answers 302
Index 321
