SIE EXAM CONTAINS 12 QUESTIONS ON KNOWLEDGE OF THE CAPITAL MARKETS. MAKE SURE YOU ARE PREPARED!

For scoring purposes, the Securities Industry Essentials (SIE) exam is broken into four sections. Section I deals with "Knowledge of the Capital Markets." There are 12 questions out of 75 dealing with this topic, or 16 percent of the exam.

 Therefore, you need to know what the capital markets entail. For example, you need to be able to explain the difference between the SEC and the various self-regulatory organizations. When the SIE exam refers to an "SRO," you need to know that it is speaking about a self-regulatory organization, such as FINRA.

 The SIE asks questions about other securities regulators, such as the North American Securities Administrators Association, or NASAA. Know also about the Securities Investors Protection Corp. and the Federal Reserve, or Fed.

 We indicate here only a few of the topics covered in the SIE's Knowledge of the Capital Markets. Bob Eder's Study for the Securities Industry Essentials (SIE) Exam covers the subject in detail. Bob Eder's book, Study for the Securities Industry Essentials (SIE) Exam, can help you prepare for the SIE test. It is available through Amazon in both paperback and Kindle e-book versions. Here is the link to Bob Eder's book on Amazon.

Bob Eder received his Juris Doctor (J.D.) degree from the University of Utah, Quinney College of Law, in 2001. He is a member of the Utah State Bar on inactive status.

Here is the link to FINRA's Study Outline for the SIE exam. Note Section 1.1 to Section 1.4 on Knowledge of the Capital Markets.

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