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· 분류 : 외국도서 > 수험서 > 전문직
· ISBN : 9781394261871
· 쪽수 : 416쪽
· 출판일 : 2024-06-05
목차
Introduction 1
Part 1: Get Things Rolling: Starting Your SIE Journey 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 43
Part 2: Starting at the Beginning: Basic Security Investments 49
Chapter 5: Securities Underwriting: The Process and the Team Players 51
Chapter 6: Equity Securities: Corporate Ownership 65
Chapter 7: Debt Securities: Corporate and U.S Government Loans 85
Chapter 8: Municipal Bonds: Local Government Debt Securities 105
Part 3: Diving Deeper: Taking a Look at More Complex Securities 127
Chapter 9: Delivering Diversification with Packaged Securities 129
Chapter 10: Working with Direct Participation Programs (DPPs) and REITs 149
Chapter 11: Options: Understanding the Basics of Puts and Calls 161
Part 4: Playing Nicely: Serving Your Client’s Needs and Following the Rules 189
Chapter 12: Customer Accounts: Proper Handling of Accounts 191
Chapter 13: Securities Analysis: Doing a Little Market Research 207
Chapter 14: Securities Markets: Taking Orders and Executing Trades 227
Chapter 15: Making Sure the IRS Gets Its Share 245
Chapter 16: Rules and Regulations: No Fooling Around 259
Part 5: Putting Your Pencil to Paper: Practice Exams 295
Chapter 17: Ready, Set, Go!: Practice Exam 1 297
Chapter 18: Answers and Explanations to Practice Exam 1 311
Chapter 19: Nothing But Net: Practice Exam 2 321
Chapter 20: Answers and Explanations to Practice Exam 2 335
Part 6: The Part of Tens 347
Chapter 21: Ten SIE Exam Traps to Avoid 349
Chapter 22: Ten Ways to Start Your Career Off Right 353
Glossary 357
Index 377
