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Week 1

3 focused sessions · about 70 minutes

  1. 1 Start here: Know the SIE path 10 min
  2. 2 Who Gets the Money? Primary vs. Secondary Markets 30 min
  3. 3 Who Regulates What? SEC, SROs, States, Fed, FDIC, SIPC 30 min

Week 2

3 focused sessions · about 90 minutes

  1. 1 Who Keeps the Market Moving? Dealers, Market Makers, Custodians, Clearing 30 min
  2. 2 What Moves the Economy? Policy, Rates, Cycles, Indicators 30 min
  3. 3 How Securities Reach Investors: Offerings, Underwriting, Disclosure 30 min

Week 3

3 focused sessions · about 90 minutes

  1. 1 Section 1 checkpoint 30 min
  2. 2 Equity Means Ownership: Common, Preferred, Rights, Warrants, ADRs 30 min
  3. 3 The Debt Landscape: Treasury, Agency, Corporate, Municipal, Money Market 30 min

Week 4

3 focused sessions · about 90 minutes

  1. 1 Bond Prices and Yields: The Relationship You Must Know 30 min
  2. 2 Bond Risk: Ratings, Calls, Conversion, and Sale Methods 30 min
  3. 3 Options Language: Calls, Puts, Moneyness, and Breakeven 30 min

Week 5

3 focused sessions · about 90 minutes

  1. 1 Options Positions: Protection, Income, Exercise, Assignment 30 min
  2. 2 Investment Company Types: Mutual Funds, Closed-End Funds, UITs, Annuities 30 min
  3. 3 Fund Pricing and Costs: NAV, POP, Share Classes, Breakpoints 30 min

Week 6

3 focused sessions · about 90 minutes

  1. 1 Municipal Fund Securities: 529 Plans, ABLE Accounts, LGIPs 30 min
  2. 2 Alternative Structures: DPPs, REITs, Hedge Funds 30 min
  3. 3 ETF or ETN? Similar Trading, Different Risk 30 min

Week 7

3 focused sessions · about 90 minutes

  1. 1 Risk Map I: Capital, Credit, Market, and Business Risk 30 min
  2. 2 Risk Map II: Rates, Inflation, Liquidity, Currency, and Timing 30 min
  3. 3 Managing Risk: Diversification, Rebalancing, and Hedging 30 min

Week 8

3 focused sessions · about 90 minutes

  1. 1 Section 2 checkpoint 30 min
  2. 2 Reading the Order Ticket: Market, Limit, Stop, Bid, Ask 30 min
  3. 3 Measuring Return: Gain, Income, Yield, Total Return, Benchmarks 30 min

Week 9

3 focused sessions · about 90 minutes

  1. 1 After the Trade: Settlement, Book Entry, and Corporate Actions 30 min
  2. 2 Choosing the Account: Cash, Margin, Options, Discretion, Fees 30 min
  3. 3 Who Owns the Account? Individual, Joint, Entity, Custodial, Retirement 30 min

Week 10

3 focused sessions · about 90 minutes

  1. 1 AML Decision Tree: SAR, CTR, FinCEN, OFAC, and SDN 30 min
  2. 2 Records, Statements, Confirmations, Privacy, Custody, and BCP 30 min
  3. 3 Recommendations: KYC, Best Interest, Suitability, Communications 30 min

Week 11

3 focused sessions · about 90 minutes

  1. 1 Manipulation and Trading Abuses: Rumors, Marking, Front Running 30 min
  2. 2 Insider Trading and Other Prohibited Conduct 30 min
  3. 3 Section 3 checkpoint 30 min

Week 12

3 focused sessions · about 90 minutes

  1. 1 Becoming Registered: SIE Credit, Sponsorship, Categories, CE 30 min
  2. 2 U4, U5, Complaints, and Conduct Red Flags 30 min
  3. 3 Outside Activities, Private Transactions, Gifts, and Political Contributions 30 min

Week 13

1 focused session · about 30 minutes

  1. 1 Section 4 checkpoint 30 min

Week 1

5 focused sessions · about 130 minutes

  1. 1 Start here: Know the SIE path 10 min
  2. 2 Who Gets the Money? Primary vs. Secondary Markets 30 min
  3. 3 Who Regulates What? SEC, SROs, States, Fed, FDIC, SIPC 30 min
  4. 4 Who Keeps the Market Moving? Dealers, Market Makers, Custodians, Clearing 30 min
  5. 5 What Moves the Economy? Policy, Rates, Cycles, Indicators 30 min

Week 2

5 focused sessions · about 150 minutes

  1. 1 How Securities Reach Investors: Offerings, Underwriting, Disclosure 30 min
  2. 2 Section 1 checkpoint 30 min
  3. 3 Equity Means Ownership: Common, Preferred, Rights, Warrants, ADRs 30 min
  4. 4 The Debt Landscape: Treasury, Agency, Corporate, Municipal, Money Market 30 min
  5. 5 Bond Prices and Yields: The Relationship You Must Know 30 min

Week 3

5 focused sessions · about 150 minutes

  1. 1 Bond Risk: Ratings, Calls, Conversion, and Sale Methods 30 min
  2. 2 Options Language: Calls, Puts, Moneyness, and Breakeven 30 min
  3. 3 Options Positions: Protection, Income, Exercise, Assignment 30 min
  4. 4 Investment Company Types: Mutual Funds, Closed-End Funds, UITs, Annuities 30 min
  5. 5 Fund Pricing and Costs: NAV, POP, Share Classes, Breakpoints 30 min

Week 4

5 focused sessions · about 150 minutes

  1. 1 Municipal Fund Securities: 529 Plans, ABLE Accounts, LGIPs 30 min
  2. 2 Alternative Structures: DPPs, REITs, Hedge Funds 30 min
  3. 3 ETF or ETN? Similar Trading, Different Risk 30 min
  4. 4 Risk Map I: Capital, Credit, Market, and Business Risk 30 min
  5. 5 Risk Map II: Rates, Inflation, Liquidity, Currency, and Timing 30 min

Week 5

5 focused sessions · about 150 minutes

  1. 1 Managing Risk: Diversification, Rebalancing, and Hedging 30 min
  2. 2 Section 2 checkpoint 30 min
  3. 3 Reading the Order Ticket: Market, Limit, Stop, Bid, Ask 30 min
  4. 4 Measuring Return: Gain, Income, Yield, Total Return, Benchmarks 30 min
  5. 5 After the Trade: Settlement, Book Entry, and Corporate Actions 30 min

Week 6

5 focused sessions · about 150 minutes

  1. 1 Choosing the Account: Cash, Margin, Options, Discretion, Fees 30 min
  2. 2 Who Owns the Account? Individual, Joint, Entity, Custodial, Retirement 30 min
  3. 3 AML Decision Tree: SAR, CTR, FinCEN, OFAC, and SDN 30 min
  4. 4 Records, Statements, Confirmations, Privacy, Custody, and BCP 30 min
  5. 5 Recommendations: KYC, Best Interest, Suitability, Communications 30 min

Week 7

5 focused sessions · about 150 minutes

  1. 1 Manipulation and Trading Abuses: Rumors, Marking, Front Running 30 min
  2. 2 Insider Trading and Other Prohibited Conduct 30 min
  3. 3 Section 3 checkpoint 30 min
  4. 4 Becoming Registered: SIE Credit, Sponsorship, Categories, CE 30 min
  5. 5 U4, U5, Complaints, and Conduct Red Flags 30 min

Week 8

2 focused sessions · about 60 minutes

  1. 1 Outside Activities, Private Transactions, Gifts, and Political Contributions 30 min
  2. 2 Section 4 checkpoint 30 min

Week 1

7 focused sessions · about 190 minutes

  1. 1 Start here: Know the SIE path 10 min
  2. 2 Who Gets the Money? Primary vs. Secondary Markets 30 min
  3. 3 Who Regulates What? SEC, SROs, States, Fed, FDIC, SIPC 30 min
  4. 4 Who Keeps the Market Moving? Dealers, Market Makers, Custodians, Clearing 30 min
  5. 5 What Moves the Economy? Policy, Rates, Cycles, Indicators 30 min
  6. 6 How Securities Reach Investors: Offerings, Underwriting, Disclosure 30 min
  7. 7 Section 1 checkpoint 30 min

Week 2

7 focused sessions · about 210 minutes

  1. 1 Equity Means Ownership: Common, Preferred, Rights, Warrants, ADRs 30 min
  2. 2 The Debt Landscape: Treasury, Agency, Corporate, Municipal, Money Market 30 min
  3. 3 Bond Prices and Yields: The Relationship You Must Know 30 min
  4. 4 Bond Risk: Ratings, Calls, Conversion, and Sale Methods 30 min
  5. 5 Options Language: Calls, Puts, Moneyness, and Breakeven 30 min
  6. 6 Options Positions: Protection, Income, Exercise, Assignment 30 min
  7. 7 Investment Company Types: Mutual Funds, Closed-End Funds, UITs, Annuities 30 min

Week 3

7 focused sessions · about 210 minutes

  1. 1 Fund Pricing and Costs: NAV, POP, Share Classes, Breakpoints 30 min
  2. 2 Municipal Fund Securities: 529 Plans, ABLE Accounts, LGIPs 30 min
  3. 3 Alternative Structures: DPPs, REITs, Hedge Funds 30 min
  4. 4 ETF or ETN? Similar Trading, Different Risk 30 min
  5. 5 Risk Map I: Capital, Credit, Market, and Business Risk 30 min
  6. 6 Risk Map II: Rates, Inflation, Liquidity, Currency, and Timing 30 min
  7. 7 Managing Risk: Diversification, Rebalancing, and Hedging 30 min

Week 4

7 focused sessions · about 210 minutes

  1. 1 Section 2 checkpoint 30 min
  2. 2 Reading the Order Ticket: Market, Limit, Stop, Bid, Ask 30 min
  3. 3 Measuring Return: Gain, Income, Yield, Total Return, Benchmarks 30 min
  4. 4 After the Trade: Settlement, Book Entry, and Corporate Actions 30 min
  5. 5 Choosing the Account: Cash, Margin, Options, Discretion, Fees 30 min
  6. 6 Who Owns the Account? Individual, Joint, Entity, Custodial, Retirement 30 min
  7. 7 AML Decision Tree: SAR, CTR, FinCEN, OFAC, and SDN 30 min

Week 5

7 focused sessions · about 210 minutes

  1. 1 Records, Statements, Confirmations, Privacy, Custody, and BCP 30 min
  2. 2 Recommendations: KYC, Best Interest, Suitability, Communications 30 min
  3. 3 Manipulation and Trading Abuses: Rumors, Marking, Front Running 30 min
  4. 4 Insider Trading and Other Prohibited Conduct 30 min
  5. 5 Section 3 checkpoint 30 min
  6. 6 Becoming Registered: SIE Credit, Sponsorship, Categories, CE 30 min
  7. 7 U4, U5, Complaints, and Conduct Red Flags 30 min

Week 6

2 focused sessions · about 60 minutes

  1. 1 Outside Activities, Private Transactions, Gifts, and Political Contributions 30 min
  2. 2 Section 4 checkpoint 30 min