SEC-INDUSTRY.AE1

Rice Securities Industry Essentials Exam 2023-2024

Pass the Rice Securities Industry Essentials (SIE) Exam with the sharpest toolkit in finance.

19 Interactive Lessons and 100 topics mapped to the official exam objectives
377 Practice Test Questions and 2 Full Length Tests

Beginner Self-paced · 1 year access

19Interactive Lessons

100Topics

377Practice Test Questions

01 / Skills you'll get

What you will be able to do

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Make Wall Street’s doors a whole lot easier for yourself. Our Rice SIE Exam course is your all-access pass to acing the SIE and more. This exam prep guide walks you through everything you need to know–from understanding the SIE essentials and mastering question types to prepping with top-notch study strategies.

Whether it’s tackling exam traps, or making sense of stocks, bonds, or packaged securities, we’ve got you covered with sharp insights, tips, and advice.

Understand the structure, purpose, and content of the SIE exam 2023-2024
Identify the types of securities, including equity, debt, and municipal bonds
Analyze the underwriting process and roles involved in security offerings
Distinguish between different investment options, including mutual funds, REITs, and annuities
Apply tax and regulatory rules for different securities and accounts
Manage effective study strategies and test-taking skills
Evaluate market research fundamentals and economic indicators
Execute trade orders and understand the mechanics of securities markets
Recognize potential exam traps and pitfalls to avoid
Plan a career path in finance with actionable tips for early success

Course Highlights

19 Structured Lessons Comprehensive coverage of core course objectives
377 Practice Questions Assessment tests with detailed answer rationales
1 Year Full Access Self-paced learning accessible anytime on all devices

02 / Lessons & labs

See exactly what you will learn and practice

Download outline (PDF)

Lessons

19 Interactive Lessons · 100 topics

01 Introduction 3 topics

About This Course
Icons Used in This Course
Where to Go from Here

02 Introducing the SIE (Securities Industry Essentials) Exam 6 topics

What Is the SIE Exam, Anyway?
Profiling the SIE Exam-Taker
One’s Not Enough: Tackling the CoRequisite Exams
Signing Up
Taking a Peek at the Tested Topics
Understanding the Exam Format and Other Exam Details

03 Preparing for the SIE Exam 5 topics

Courses and Training Materials: Determining the Best Way to Study
Managing Your Study Time Wisely
Exploring Study Strategies
Developing Solid Test-Taking Skills
Knowing When You’re Ready

04 Examining and Mastering Question Types 2 topics

Familiarizing Yourself with Question Formats
Shredding the Questions: Tips and Tricks

05 Surviving Test Day 5 topics

Composing Yourself the Day Before
Making the Most of the Morning
Arriving on the Scene
Tackling the SIE
Revealing Your Results: Drumroll, Please…

06 Securities Underwriting: The Process and the Team Players 3 topics

Bringing New Issues to the Market
Getting Up to Speed on the Types of Securities Offerings
Reviewing Exemptions

07 Equity Securities: Corporate Ownership 3 topics

Beginning with the Basics: Common Stock
Getting Preferential Treatment: Preferred Stock
Securities with a Twist

08 Debt Securities: Corporate and U.S. Government Loans 5 topics

Tackling Bond Terms, Types, and Traits
Making Basic Bond Price and Yield Calculations
Determining the Best Investment: Comparing Bonds
Exploring U.S. Government Securities
Playing It Safe: Short-Term Loans or Money Market Instruments

09 Municipal Bonds: Local Government Securities 11 topics

General Obligation Bonds: Backing Bonds with Taxes
Revenue Bonds: Raising Money for Utilities and Such
The Primary Market: Bringing New Municipal Bonds to Market
Examining Other Types of Municipal Bonds on the Test
Taxing BABs: Taxable Municipal Bonds
Municipal Notes: Securing Short-Term Financing
Taking a Closer Look at Municipal Fund Securities
Understanding the Taxes on Municipal Bonds
Following Municipal Bond Rules
Gathering Municipal Bond Info
“G” That’s a Whole Lot of Rules

10 Delivering Diversification with Packaged Securities 5 topics

Looking at Investment Company Registration
Diversifying through Management Investment Companies
Considering Other Investment Company Options
Adding Annuities to a Portfolio
Understanding the Investment Component of Variable Life Insurance Products

11 Working with Direct Participation Programs and REITs 7 topics

Searching for Identity: What DPPs Are (and Aren’t)
The DPP Characters: General and Limited Partners
Pushing through Partnership Paperwork
Passive Income and Losses: Looking at Taxes on Partnerships
Evaluating DPPs
Checking Out Types of Partnerships
Reducing Real-Estate Risk with REITs

12 Options: Understanding the Basics of Puts and Calls 3 topics

Brushing Up on Option Basics
Incorporating Standard Option Math
Gaining Additional Option Insight

13 Customer Accounts: Doing the Right Thing 4 topics

Following Protocol When Opening Accounts
Selecting the Appropriate Type of Account
Working with Margin Accounts
Obeying the Telephone Act of 1991

14 Securities Analysis: Doing a Little Market Research 5 topics

Getting to Know Your Securities and Markets: Securities Analysis Basics
Following the Green: Money Supply and Monetary Policy
Reading Economic Indicators
How Economic Factors Affect Securities
Your Principal Economic Theory Primer

15 Securities Markets: Taking Orders and Executing Trades 5 topics

Shopping at Primary and Secondary Markets
Making the Trade
Understanding the Role of a Broker–Dealer
Receiving and Executing Customer Orders
It Takes All Kinds: Recognizing Different Types of Investors

16 Making Sure the IRS Gets Its Share 3 topics

Everything in Its Place: Checking Out Tax and Income Categories
Noting Taxes on Investments
Exploring Retirement Plan Tax Advantages

17 Rules and Regulations: No Fooling Around 5 topics

Meeting the Market Watchdogs: Securities Regulatory Organizations
FINRA Registration and Reporting Requirements
Trading by the Course When the Account Is Open
Committing Other Important Rules to Memory
The Investor’s Bankruptcy Shield: FDIC and SIPC Coverage

18 Ten SIE Exam Traps to Avoid 10 topics

Easing Up on the Studying
Assuming the Question’s Intent
Reading into the Question
Becoming Distracted When Others Finish
Not Dressing for Comfort
Forgetting to Breathe
Trying to Work Out Equations in Your Head Instead of Writing Them Down
Spending Too Much Time on One Question
Changing Your Answers for the Wrong Reasons
Calculating Your Final Score Prematurely

19 Ten Ways to Start Your Career Off Right 10 topics

Win at the Numbers Game
Be an Apprentice
Do Your Homework
Treat the Minnow Like a Whale
Smile When You Dial
When a Security Falls, Don’t Be a Stranger
Put In the Hours
Broaden Your Horizons
Pay Yourself First
Set Some Goals: The Brass Ring

03 / FAQs

Questions before you start

What is the SIE Exam?

The SIE (Securities Industry Essentials) exam is an entry-level assessment that tests basic knowledge of the securities industry, including concepts fundamental to working in the field.

Who should take this SIE Exam course?

This course is ideal for individuals looking to start a finance career, including students, career changers, and anyone interested in understanding the securities industry.

Is this course suitable for beginners?

Yes, our securities industry essentials (sie) exam study guide is designed for beginners, providing foundational knowledge and study strategies for the SIE exam.

Do I need to take the SIE Exam to work in the securities industry?

While it’s not required for all positions, passing the SIE exam is a crucial step for many roles in the industry and enhances your job prospects.

What is the passing score for the SIE Exam?

You need at least a 70% score to pass the SIE exam.

Build A Future in Finance

Learn the financial basics and prepare for the certification with our Securities Industry Essentials Exam training.

1 year of full access
Certificate of completion

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