FINRA SIE Prep Program
Invest in your future, pass the SIE Exam
Office Hours #2 Material
Topic #1 - Primary Issuance
Firms often look to raise funding from investors in the capital markets. This is often done through security issuance. We will cover how a company engages with the Securities Exchange Commission as they work through the process of raising capital.
Topic #3 - Life Insurance Based Products
A common question that most people have when they work through the material the first time is “Why is a variable annuity a security but a fixed annuity isn’t?” We will also cover nuances related to the legal status of different investment funds operated by insurance companies.
Topic #2 - Types of Orders, Bid-Ask Spread
Most traders don’t just place buy and sell orders. There are many types of orders that specify when a trade can be executed and at what price. We will learn how to read market quotes and distinguish between the different types of orders.
Topic #4 - Municipal Fund Securities
Municipal Fund securities are those that are sponsored by the state such as 529 plans, ABLE accounts, and LGIPs. Only certain investors are eligible for these types of accounts.
Office Hours #2 Material
Topic #1 - Primary Issuance
Firms often look to raise funding from investors in the capital markets. This is often done through security issuance. We will cover how a company engages with the Securities Exchange Commission as they work through the process of raising capital.
Topic #2 - Types of Orders, Bid-Ask Spread
Most traders don’t just place buy and sell orders. There are many types of orders that specify when a trade can be executed and at what price. We will learn how to read market quotes and distinguish between the different types of orders.
Topic #3 - Life Insurance Based Products
A common question that most people have when they work through the material the first time is “Why is a variable annuity a security but a fixed annuity isn’t?” We will also cover nuances related to the legal status of different investment funds operated by insurance companies.
Topic #4 - Municipal Fund Securities
Municipal Fund securities are those that are sponsored by the state such as 529 plans, ABLE accounts, and LGIPs. Only certain investors are eligible for these types of accounts.