STUDY FOR THE SECURITIES INDUSTRY ESSENTIALS EXAM (SIE) EXAM

The Securities Industry Essentials (SIE) Exam is a necessary first step if you plan to sit for many securities exams, including the Series 6 and Series 7 exams. If you do intend to sit for the SIE Exam, make sure that you know about self-regulatory organizations (SRO's), what they are, who they are, and what their purpose is. FINRA publishes a Content Outline for the SIE Exam, and Section 1.1.2 specifically talks about Self-Regulatory Organizations(SRO's), indicating that you should expect to see questions about SRO's on your exam. Bob Eder discusses SRO's in his Study for the Securities Industry Essentials (SIE) Exam. Here is a sample of Bob Eder's treatment: Self-Regulatory Organizations                                                      ...

Taking the SIE exam? Don't neglect to study rules of FINRA and other SRO's! What is an SRO? It stands for self-regulatory organization, such as FINRA, the Chicago Board Options Exchange (CBOE), the Municipal Securities Rulemaking Board (MSRB), and the various stock exchanges. Section 4.1 of the SIE Content Outline is entitled "SRO Regulatory Requirements for Associated Persons." Take a look at this section in the SIE Content Outline. Notice the rules and regulations that are listed. What does this mean for you and passing the test? It means that you cannot neglect studying the rules in depth and in detail. Bob Eder J.D.'s book  Study for the Securities Industry Essentials (SIE) Exam  covers the important rules and regulations of FINRA and the other SRO's.  Bob Eder's book is available from 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.) deg...