STUDY FOR THE SECURITIES INDUSTRY ESSENTIALS EXAM (SIE) EXAM

  Thinking of taking the Securities Industry Essentials (SIE) exam? Then make sure that you study the characteristics of Private Placements and Private Offerings because you are likely to see questions about these topics on the SIE exam. How do I know this? FINRA list these topics In its Content Outline for the SIE Exam in Section 1.4, entitled Offerings. Bob Eder in his SIE guide,  Study for the Securities Industry Essentials (SIE) Exam , discusses Private Placements and Offerings in detail. Here is a sample of Bob Eder's discussion: Rule 506 Under Rule 506 of Reg. D, there is no dollar limit on the size of the private offering. Moreover, there may not be more than 35 investors. In addition, Reg. D allows an unlimited number of accredited investors, generally those with sizeable assets or income. In a Rule 506 offering, all purchasers, accredited or non-accredited, must be knowledgeable and sophisticated investors, meaning that they are both familiar with investing and that...

If you plan to sit for the Securities Industry Essentials exam (SIE), you should be aware that the SIE exam asks questions about securities offerings. How do I know this? I know this because Section 1.4 of FINRA's Content Outline indicates that the applicant should study and know types and kinds of offerings. For example, Section 1.4 of the Content Outline indicates that a candidate should expect to be asked about public versus private offerings, initial public offerings, secondary offerings, and follow-on offerings. Also shelf offerings, both definition and purpose. Bob Eder's book, Study for the SIE Exam , covers  in detail  all these topics and more. Here is the link to FINRA's Content Outline for the SIE exam. Study for the Securities Industry Essentials (SIE) Exam  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.) degree from the University of Utah, ...