Live Class SIE Live Web Class
8/31 - 9/4
12pm - 3:15pm ET
Break 1:30-1:45pm
Instructor: Craig MacAllister

Topics covered:

  • Common Stock
  • Preferred Stock, Warrants, Rights and ADRs
  • Bonds and Yields
  • Types of Bonds
  • Treasury Securities, ABS, CMOs, and Munis
  • Mutual Funds and Other Investment Companies
  • Life Insurance Products and Municipal Fund Securities
  • Options
  • Options, Partnerships, Hedge Funds, and Private Placements
  • Risks
  • Customer Disclosures & Taxation
  • Underwriting, Issuing, and Registering Securities
  • Exemptions from Registration & Types of Broker-Dealers
  • Markets, Financial Institutions, and Clearance & Settlement
  • Economic Factors and Business Cycles
  • Tools of Government Policy and International Factors
  • Opening an Account & Types of Accounts
  • Cash and Margin Accounts
  • Order Processing
  • Handling Corporate Actions, Account Compliance, and SIPC Rules
  • Prohibited Activities and Trading Rules
  • FINRA Conduct Rules
  • FINRA Membership
  • FINRA Conduct Rules

Price:
$199.95