SIE Exam: 1001 Practice Questions For Dummies

ISBN-13: 9781394195244 / Angielski / Miękka / 2023

Steven M. (Empire Stockbroker Training Institute) Rice

Spis treści

Introduction 1What You'll Find 1Beyond the Book 2Where to Go for Additional Help 2Part 1: Tackling the Questions 3Chapter 1: Securities Underwriting: The Process and the Team Players 5The Problems You'll Work On 5What to Watch Out For 51-35 Bringing New Issues to Market 636-43 Types of Securities Offerings 1044-61 Exempt Securities and Transactions 11Chapter 2: Equity Securities: Corporate Ownership 15The Problems You'll Work On 15What to Watch Out For 1562-97 Common Stock 1698-125 Preferred Stock 20126-141 ADRs, Rights, and Warrants 24Chapter 3: Debt Securities: Corporate and US Government Loans 27The Problems You'll Work On 27What to Watch Out For 27142-178 Types of Bonds 28179-208 Price and Yield Calculations 32209-224 U S Government Securities 36225-238 Money Market Instruments 37Chapter 4: Municipal Bonds: Local Government Securities 41The Problems You'll Work On 41What to Watch Out For 42239-268 GO and Revenue Bonds 43269-275 The Primary Market 47276-286 Additional Municipal Bonds 48287-296 Municipal Notes 49297-302 Municipal Fund Securities 50303-313 Taxes on Municipal Bonds 51314-335 Municipal Bond Rules 52Chapter 5: Delivering Diversification with Packaged Securities 57The Problems You'll Work On 57What to Watch Out For 58336-340 Investment Company Rules 59341-384 Management Investment Companies 59385-406 Investment Company Options 65407-431 Annuities 67432-436 Variable Life Insurance Products 70Chapter 6: Working with Direct Participation Programs and REITs 73The Problems You'll Work On 73What to Watch Out For 74437-457 DPPs, General, and Limited Partners 75458-464 Partnership Paperwork 77465-470 Passive Gains and Losses 78471-491 Types of DPPs 79492-502 REITs 81Chapter 7: Options: Understanding the Basics of Puts and Calls 83The Problems You'll Work On 83What to Watch Out For 84503-535 Option Basics 85536-573 Standard Option Math 88574-602 Option Paperwork and Rules 93Chapter 8: Customer Accounts: Doing the Right Thing 97The Problems You'll Work On 97What to Watch Out For 97603-622 Opening Accounts 98623-640 Selecting the Appropriate Type of Account 101641-664 Margin Accounts 103665-667 Telephone Act of 1991 106Chapter 9: Securities Analysis: Doing a Little Market Research 107The Problems You'll Work On 107What to Watch Out For 108668-686 Systematic and Nonsystematic Risk 109687-709 Fundamental and Technical Analysis 111710-734 Money Supply and Monetary Policy 114735-744 Economic Indicators 117745-752 Cyclical, Defensive, and Growth Investments 118753-755 Economic Theories 118Chapter 10: Securities Markets: Taking Orders and Executing Trades 121The Problems You'll Work On 121What to Watch Out For 121756-763 Primary and Secondary Market 122764-774 Making the Trade 123775-781 Broker-Dealer 124782-810 Executing Customer Orders 125811-815 Types of Investors 129Chapter 11: Making Sure the IRS Gets Its Share: Taxes and Retirement Plans 131The Problems You'll Work On 131What to Watch Out For 132816-822 Tax Categories and Types of Income 133823-843 Taxes on Investments 133844-876 Retirement Plans 137Chapter 12: Rules and Regulations: No Fooling Around 143The Problems You'll Work On 143What to Watch Out For 144877-892 Securities Regulatory Organizations 145893-904 FINRA Registration and Reporting Requirements 147905-957 Trading After the Account Is Open 149958-993 Additional Rules 156994-1,001 FDIC and SIPC 161Part 2: Checking Your Answers 163Chapter 13: The Answers 165Chapter 1 Answers 165Chapter 2 Answers 174Chapter 3 Answers 187Chapter 4 Answers 203Chapter 5 Answers 219Chapter 6 Answers 234Chapter 7 Answers 243Chapter 8 Answers 261Chapter 9 Answers 272Chapter 10 Answers 285Chapter 11 Answers 294Chapter 12 Answers 302Index 321

O autorze

Steven M. Rice is a partner and instructor at Empire Stockbroker Training Institute, one of the country's leading schools for training to the securities industry. Steven is the author of Series 7 Exam For Dummies, SIE Exam For Dummies, and Series 7 Exam: 1001 Practice Questions For Dummies.