Description: Introduction 1 Part 1: Getting Started with the SIE Exam 5 Chapter 1: Introducing the SIE (Securities Industry Essentials) Exam 7 Chapter 2: Preparing for the SIE Exam 19 Chapter 3: Examining and Mastering Question Types 31 Chapter 4: Surviving Test Day 41 Part 2: Mastering Basic Security Investments 47 Chapter 5: Securities Underwriting: The Process and the Team Players 49 Chapter 6: Equity Securities: Corporate Ownership 63 Chapter 7: Debt Securities: Corporate and U.S Government Loans 81 Chapter 8: Municipal Bonds: Local Government Securities 99 Part 3: Delving Deeper: Security Investments with a Twist 121 Chapter 9: Delivering Diversification with Packaged Securities 123 Chapter 10: Working with Direct Participation Programs and REITs 143 Chapter 11: Options: Understanding the Basics of Puts and Calls 155 Part 4: Playing Nicely: Serving Your Customers and Following the Rules 179 Chapter 12: Customer Accounts: Doing the Right Thing 181 Chapter 13: Securities Analysis: Doing a Little Market Research 197 Chapter 14: Securities Markets: Taking Orders and Executing Trades 217 Chapter 15: Making Sure the IRS Gets Its Share 231 Chapter 16: Rules and Regulations: No Fooling Around 243 Part 5: Putting Your Knowledge to Good Use: Practice Exams 279 Chapter 17: Bring It On: Practice Exam 1 281 Chapter 18: Answers and Explanations to Practice Exam 1 295 Chapter 19: Nothing But Net: Practice Exam 2 305 Chapter 20: Answers and Explanations to Practice Exam 2 321 Part 6: The Part of Tens 333 Chapter 21: Ten SIE Exam Traps to Avoid 335 Chapter 22: Ten Ways to Start Your Career Off Right 339 Index 343

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