Securities Industry Essentials (SIE) Certificate ProgramTopics

Equity and Debt Securities

  • Introduction to Equity Securities
  • Why Do People Buy Stocks?
  • Dividends, Rights, Warrants and ADRs
  • Introduction to Debt Securities
  • Types of Corporate Bonds
  • Municipal Bonds
  • Government and Government Agency Issues
  • The Money Market

Economics, Corporate Fundamentals, Issuing, and Trading Securities

  • An Introduction to Economics and Corporate Fundamentals
  • Issuing and Offering Corporate Securities
  • The Underwriting Syndicate and Exempt Transactions
  • Issuing Municipal Securities
  • Trading Securities in the Secondary Market
  • The Role of Broker Dealers and Nasdaq

Options, Investment Companies, Variable Annuities, and Retirement Plans

  • Option Basics
  • Using Options to Hedge a Position and Exercising Options
  • Investment Companies and Mutual Funds
  • Mutual Fund Investment Objectives, Valuation, and Sales Charges
  • Variable Annuities
  • Individual and Corporate Retirement Plans

Customer Accounts, Client Recommendations, Professional Conduct, and Industry Regulations

  • Customer Accounts, UGMAs, Accounts for Employees of Broker Dealers and Customer Privacy
  • Employee Conduct and Reportable Events
  • Customer Recommendations, Professional Conduct, and Taxation
  • Securities Industry Rules and Regulations
  • Registration of Agents and Continuing Education
  • Communications with the Public, Dispute Resolution, Insider Trading, SIPC, and AML

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Executive Education
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