Rice Securities Industry Essentials Exam 2023-2024

(SEC-INDUSTRY.AE1) / ISBN : 978-1-64459-509-1
This course includes
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About This Course

The Rice Securities Industry Essentials (SIE) Exam 2023-2024 course is your key to unlocking opportunities in the dynamic world of securities, commodities, and financial services. This comprehensive course guides you through the essential concepts, regulations, and practices required to excel in the securities industry. Our course is designed to cover the entire spectrum of topics included in the Securities Industry Essentials (SIE) Exam. From regulatory frameworks to industry practices, you'll gain a holistic understanding of the securities industry landscape.

Skills You’ll Get

Get the support you need. Enroll in our Instructor-Led Course.


19+ Lessons | 295+ Exercises | 156+ Quizzes |


74+ Pre Assessment Questions | 2+ Full Length Tests | 74+ Post Assessment Questions | 148+ Practice Test Questions



  • About This Course
  • Icons Used in This Course
  • Where to Go from Here

Introducing the SIE (Securities Industry Essentials) Exam

  • What Is the SIE Exam, Anyway?
  • Profiling the SIE Exam-Taker
  • One’s Not Enough: Tackling the CoRequisite Exams
  • Signing Up
  • Taking a Peek at the Tested Topics
  • Understanding the Exam Format and Other Exam Details

Preparing for the SIE Exam

  • Courses and Training Materials: Determining the Best Way to Study
  • Managing Your Study Time Wisely
  • Exploring Study Strategies
  • Developing Solid Test-Taking Skills
  • Knowing When You’re Ready

Examining and Mastering Question Types

  • Familiarizing Yourself with Question Formats
  • Shredding the Questions: Tips and Tricks

Surviving Test Day

  • Composing Yourself the Day Before
  • Making the Most of the Morning
  • Arriving on the Scene
  • Tackling the SIE
  • Revealing Your Results: Drumroll, Please…

Securities Underwriting: The Process and the Team Players

  • Bringing New Issues to the Market
  • Getting Up to Speed on the Types of Securities Offerings
  • Reviewing Exemptions

Equity Securities: Corporate Ownership

  • Beginning with the Basics: Common Stock
  • Getting Preferential Treatment: Preferred Stock
  • Securities with a Twist

Debt Securities: Corporate and U.S. Government Loans

  • Tackling Bond Terms, Types, and Traits
  • Making Basic Bond Price and Yield Calculations
  • Determining the Best Investment: Comparing Bonds
  • Exploring U.S. Government Securities
  • Playing It Safe: Short-Term Loans or Money Market Instruments

Municipal Bonds: Local Government Securities

  • General Obligation Bonds: Backing Bonds with Taxes
  • Revenue Bonds: Raising Money for Utilities and Such
  • The Primary Market: Bringing New Municipal Bonds to Market
  • Examining Other Types of Municipal Bonds on the Test
  • Taxing BABs: Taxable Municipal Bonds
  • Municipal Notes: Securing Short-Term Financing
  • Taking a Closer Look at Municipal Fund Securities
  • Understanding the Taxes on Municipal Bonds
  • Following Municipal Bond Rules
  • Gathering Municipal Bond Info
  • “G” That’s a Whole Lot of Rules

Delivering Diversification with Packaged Securities

  • Looking at Investment Company Registration
  • Diversifying through Management Investment Companies
  • Considering Other Investment Company Options
  • Adding Annuities to a Portfolio
  • Understanding the Investment Component of Variable Life Insurance Products

Working with Direct Participation Programs and REITs

  • Searching for Identity: What DPPs Are (and Aren’t)
  • The DPP Characters: General and Limited Partners
  • Pushing through Partnership Paperwork
  • Passive Income and Losses: Looking at Taxes on Partnerships
  • Evaluating DPPs
  • Checking Out Types of Partnerships
  • Reducing Real-Estate Risk with REITs

Options: Understanding the Basics of Puts and Calls

  • Brushing Up on Option Basics
  • Incorporating Standard Option Math
  • Gaining Additional Option Insight

Customer Accounts: Doing the Right Thing

  • Following Protocol When Opening Accounts
  • Selecting the Appropriate Type of Account
  • Working with Margin Accounts
  • Obeying the Telephone Act of 1991

Securities Analysis: Doing a Little Market Research

  • Getting to Know Your Securities and Markets: Securities Analysis Basics
  • Following the Green: Money Supply and Monetary Policy
  • Reading Economic Indicators
  • How Economic Factors Affect Securities
  • Your Principal Economic Theory Primer

Securities Markets: Taking Orders and Executing Trades

  • Shopping at Primary and Secondary Markets
  • Making the Trade
  • Understanding the Role of a Broker–Dealer
  • Receiving and Executing Customer Orders
  • It Takes All Kinds: Recognizing Different Types of Investors

Making Sure the IRS Gets Its Share

  • Everything in Its Place: Checking Out Tax and Income Categories
  • Noting Taxes on Investments
  • Exploring Retirement Plan Tax Advantages

Rules and Regulations: No Fooling Around

  • Meeting the Market Watchdogs: Securities Regulatory Organizations
  • FINRA Registration and Reporting Requirements
  • Trading by the Course When the Account Is Open
  • Committing Other Important Rules to Memory
  • The Investor’s Bankruptcy Shield: FDIC and SIPC Coverage

Ten SIE Exam Traps to Avoid

  • Easing Up on the Studying
  • Assuming the Question’s Intent
  • Reading into the Question
  • Becoming Distracted When Others Finish
  • Not Dressing for Comfort
  • Forgetting to Breathe
  • Trying to Work Out Equations in Your Head Instead of Writing Them Down
  • Spending Too Much Time on One Question
  • Changing Your Answers for the Wrong Reasons
  • Calculating Your Final Score Prematurely

Ten Ways to Start Your Career Off Right

  • Win at the Numbers Game
  • Be an Apprentice
  • Do Your Homework
  • Treat the Minnow Like a Whale
  • Smile When You Dial
  • When a Security Falls, Don’t Be a Stranger
  • Put In the Hours
  • Broaden Your Horizons
  • Pay Yourself First
  • Set Some Goals: The Brass Ring

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