SIE Audio

Solomon Exam Prep Guide to the SIE, 2nd Ed.

FINRA Securities Industry Essentials (SIE) Exam


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Track Title Bookmark Length Download
1 Note From the Publisher 0:44
2 Copyright 0:18
3 Introduction 4:26
4 Equity Securities 16:19
5 Treasury Shares 15:49
6 Penny Stock 18:10
7 Protective Provisions 18:23
8 Debt Securities 18:23
9 Interest Rates and Bond Prices 15:55
10 Types of Unsecured Bonds 17:09
11 Callable Bonds 4:28
12 Put Features 10:45
13 T-Notes and Bond Quotations 6:43
14 Asset-Backed and Mortgage-Backed Securities 6:36
15 Collateralized Mortgage Obligations (CMOs) 14:10
16 Other Types of Municipal Bonds 17:34
17 Investment Companies, Life Insurance Products, and Other Packaged Securities 20:54
18 How Mutual Funds Do Business 24:47
19 Management Companies - Closed End Funds 15:16
20 Exchange-Traded Notes (ETNs) 14:32
21 Variable Annuities 19:15
22 529 College Savings Plans 10:07
23 Options and Alternative Investments 15:35
24 Calculating Gains and Losses 18:10
25 Options Strategies 18:13
26 Direct Participation Programs (DPPs) 13:05
27 Risk Disclosures and Taxation 18:34
28 Investment Goals 16:56
29 Capital Gains and Losses 22:40
30 Issuing Securities - The Primary Market 15:59
31 The Timeline for Registering Securities 16:08
32 Restrictions on the After-Market of a Public Offering 20:11
33 The Securities Market 18:24
34 Interest Rates and the Business Cycle 9:00
35 Monetary Policy 19:09
36 Customer Accounts 17:47
37 Corporate Accounts 22:08
38 Individual Retirement Accounts (IRAs) 20:27
39 Maintaining an Account 15:10
40 Stop-Limit Orders 18:33
41 Performance Measures 16:55
42 Fair Prices and Commisions 8:00
43 Prohibited Activities and Conduct Rules 21:04
44 Communications with the Public 16:38
45 Conducting Business with the Public 10:44
46 Regulatory Responsibilities 16:29
47 Conditions of Individual Registration 17:22
48 Restrictions on Customer Gifts and Gratuities 15:02
49 Contributions 11:39

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