Capital Markets - Set 1

Basic concepts of primary and secondary markets.

Topic: Capital Markets | Questions: 3

Capital Markets - Set 2

Market makers, underwriting, and market types.

Topic: Capital Markets | Questions: 3

Capital Markets - Set 3

Economic indicators and monetary policy.

Topic: Capital Markets | Questions: 3

Capital Markets - Set 4

Liquidity, market structure, and IPOs.

Topic: Capital Markets | Questions: 3

Capital Markets - Set 5

Intermediaries, market roles, and Fed actions.

Topic: Capital Markets | Questions: 3

Products & Risks - Set 1

Common securities and associated investment risks.

Topic: Products and Risks | Questions: 3

Products & Risks - Set 2

Preferred stock, credit risk, and options basics.

Topic: Products and Risks | Questions: 3

Products & Risks - Set 3

Treasuries, systematic risk, and fund types.

Topic: Products and Risks | Questions: 3

Products & Risks - Set 4

Inflation risk, bond maturities, and options.

Topic: Products and Risks | Questions: 3

Products & Risks - Set 5

Municipal bonds, unsystematic risk, and fund pricing.

Topic: Products and Risks | Questions: 3

Trading & Accounts - Set 1

Order types, account types, and prohibited activities.

Topic: Trading, Accounts, Prohibited Activities | Questions: 3

Trading & Accounts - Set 2

Stop orders, margin accounts, and freeriding.

Topic: Trading, Accounts, Prohibited Activities | Questions: 3

Trading & Accounts - Set 3

Buy stop orders, Regulation T, and manipulation.

Topic: Trading, Accounts, Prohibited Activities | Questions: 3

Trading & Accounts - Set 4

Settlement times, limit orders, and tipper/tippee liability.

Topic: Trading, Accounts, Prohibited Activities | Questions: 3

Trading & Accounts - Set 5

Government settlement, guarantees, and maintenance margin.

Topic: Trading, Accounts, Prohibited Activities | Questions: 3

Regulatory Framework - Set 1

Key regulators and foundational securities acts.

Topic: Regulatory Framework | Questions: 3

Regulatory Framework - Set 2

Exchange Act, MSRB role, and state laws.

Topic: Regulatory Framework | Questions: 3

Regulatory Framework - Set 3

SIPC, continuing education, and WSPs.

Topic: Regulatory Framework | Questions: 3

Regulatory Framework - Set 4

Investment Company Act, KYC, and complaints.

Topic: Regulatory Framework | Questions: 3

Regulatory Framework - Set 5

Prospectus delivery, AML, and NASAA.

Topic: Regulatory Framework | Questions: 3

Mixed Topics Review - Set 1

A mix of questions from different SIE sections.

Topic: Mixed Review | Questions: 3

Mixed Topics Review - Set 2

Questions covering orders, SIPC, and stock types.

Topic: Mixed Review | Questions: 3

Mixed Topics Review - Set 3

Questions on MSRB, liquidity, and arbitrage.

Topic: Mixed Review | Questions: 3

Mixed Topics Review - Set 4

Questions on Regulation T, fund types, and state laws.

Topic: Mixed Review | Questions: 3

Mixed Topics Review - Set 5

Questions on underwriting, stop orders, and WSPs.

Topic: Mixed Review | Questions: 3