All Exams
SIE Study Guides
Securities Industry Essentials exam guides covering markets, products, regulations, and prohibited practices.
Securities Markets — Primary vs. Secondary Market
How securities are issued and traded, market participants, and the role of broker-dealers.
5 min readMarketsStructure
Equity Securities — Common and Preferred Stock
Rights of shareholders, preferred stock features, dividends, and corporate actions.
5 min readEquitiesProducts
Debt Securities — Bonds, Yields, and Price Relationships
Bond pricing, yield calculations, duration, and the inverse price-yield relationship.
6 min readFixed IncomeProducts
Prohibited Practices and Regulatory Framework
Insider trading, market manipulation, suitability obligations, and FINRA/SEC oversight.
5 min readRegulationsCompliance