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Securities Industry Essentials Exam 2023-2024 For Dummies with Online Practice 3rd Edition

Securities Industry Essentials Exam 2023-2024 For Dummies with Online Practice 3rd Edition PDF

Author: Steven M. Rice

Publisher: For Dummies


Publish Date: June 8, 2022

ISBN-10: 1119886856

Pages: 384

File Type: PDF

Language: English

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Book Preface


Syou want to be a securities industry professional such as a stockbroker? The good news is that a career in the securities field can be extremely lucrative and rewarding. The not-so-good news is that anyone who plans to become a stockbroker and sell securities in any of the 50 states must first pass the Securities Industry Essentials (SIE) exam and one of the top-off exams. Even the SIE exam alone is quite a challenge for most people. To pass the SIE, you have to commit time and effort.
I passed all my securities exams the first time with very high scores, but they all required weeks of study and sacrifice. Those who aren’t totally prepared on exam day are in for an unpleasant wake-up call. As a test prep instructor and tutor, I always had a few students in every class who had enrolled after they already failed one of their exams. Most of them initially expected the same easy ride that they’d experienced in high school or college. Not only were they wrong, but they also had to pay a significant amount of money to reregister for the exam and wait another 30 days — a rule of the Financial Industry Regulatory Authority (FINRA) — before they could retake the exam.
Back to the good news again. You’re obviously interested in doing well, so you probably won’t be one of those people. This book can help you pass the SIE exam and achieve your goal.

About This Book

This book should be all you need to pass the exam, although I certainly encourage you to view other materials and take whatever exams you can get your hands on. But as a word of caution, if you’re reviewing and taking tests from other books, please make sure that they’re on target. I’ve seen more than a couple of books presenting information that is definitely not included in the SIE outline.
I cover the topics that appear on the test, offer formulas as needed, provide definitions, and go over the information you need to know. I also include lots of tips and a few memory tricks. But the real benefit of this book is finding out how to study and think through problems as well as you possibly can. That’s why I help you choose a study program, explain how to handle specific question types, warn you about common mistakes, connect concepts, and show you how to pull questions apart and get to the bottom of what’s being asked. Then you get to apply this knowledge in two full-length practice tests so you get a taste of the SIE exam experience.

This is a reference book, and most sections are self-contained. In other words, you can read a section and understand it without looking over the text that comes before it. When some back-ground information is helpful, I give cross-references to related topics. Therefore, you can pretty much jump in and out whenever you find topics you like (and when you find those you don’t). And like all good tour guides, I also point you to some other sites of interest — topics you can explore further on your own. If you’re short on time (as you probably are) and aren’t ready for a break just yet, you can skip the sidebars, those little gray boxes that contain interesting but nonessential information.

Where to Go from Here

Although you can read this book from start to finish, you can certainly work your way through it in more creative ways. Where you start is up to you, but please, please don’t start with the practice final exams! Give yourself a good grounding in the content here and then use the practice final exams to evaluate your understanding and show you where to focus your studies. You can flip to the topics you think you understand fairly well to boost your confidence or skip directly to what-ever’s giving you trouble; let the index and the table of contents be your guides. If you have a good understanding of how to take the SIE exam, from how it’s structured to how to tackle questions, you can go directly to the chapters in parts 2 and 3, which address types of securities. If you’re feeling shaky on the legal aspects, check out the FINRA rules and regulations in Part 4. Everyone, however, can probably benefit from Part 1’s test-taking basics and info on study plans. Wherever you go, feel free to take detours to your textbooks, flash cards, FINRA websites, and any other resources for more information. Just remember to come back so you don’t miss anything here!

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