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Full Product Details

Author:   Steven M. Rice (Empire Stockbroker Training Institute)
Publisher:   John Wiley & Sons Inc
Imprint:   For Dummies
Edition:   5th edition
Dimensions:   Width: 21.30cm , Height: 3.30cm , Length: 27.40cm
Weight:   0.748kg
ISBN:  

9781394421701

ISBN 10:   1394421702
Pages:   400
Publication Date:   27 May 2026
Audience:   General/trade ,  General
Format:   Paperback
Publisher's Status:   Forthcoming
Availability:   Awaiting stock  

Table of Contents

Introduction 1 Part 1: Getting Things Rolling: Starting Your SIE Journey 5 CHAPTER 1: Introducing the SIE (Securities Industry Essentials) Exam 7 CHAPTER 2: Getting Prepared to Take the SIE Exam 19 CHAPTER 3: Examining and Mastering Questions 29 CHAPTER 4: Surviving Test Day 41 Part 2: Starting at Square One: 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 83 CHAPTER 8: Municipal Bonds: Securities Issued by Local Governments 103 Part 3: Diving Deeper: Taking a Look at More Complex Securities 125 CHAPTER 9: Delivering Diversification with Packaged Securities 127 CHAPTER 10: Working with Direct Participation Programs (DPPs) and REITs 147 CHAPTER 11: Options: Understanding the Elements of Puts and Calls 159 Part 4: Playing Nicely: Serving Your Client's Needs and Following the Rules 187 CHAPTER 12: Customer Accounts: Proper Handling of Accounts 189 CHAPTER 13: Securities Analysis: Doing Some Market Research 205 CHAPTER 14: Securities Markets: Taking Orders and Executing Trades 225 CHAPTER 15: Making Sure the IRS Gets Its Share 241 CHAPTER 16: Rules and Regulations: No Fooling Around 255 Part 5: Putting Your Pencil to Paper: Practice Exams 289 CHAPTER 17: Ready, Set, Go!: Practice Exam 1 291 CHAPTER 18: Answers and Explanations to Practice Exam 1 305 CHAPTER 19: Nothing But Net: Practice Exam 2 315 CHAPTER 20: Answers and Explanations to Practice Exam 2 329 Part 6: The Part of Tens 341 CHAPTER 21: Ten SIE Exam Traps to Avoid 343 CHAPTER 22: Ten Ways to Start Your Career Off Right 347 Glossary 351 Index 371

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Author Information

Steven M. Rice is a partner and instructor at Empire Stockbroker Training Institute and author of Series 7 Exam For Dummies and SIE Exam: 1001 Practice Questions For Dummies.

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