FINANCE 5
FINANCE 5
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Securities Industry Essentials Exam LICENSE EXAM MANUAL 3RD EDITION
SIE 
Securities Industry Essentials Exam 
 
LICENSE EXAM MANUAL 
3RD EDITION 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Contents 
 
SIE Exam and Industry Introduction	1 
What Is the SIE?	1 
How the Exam Is Structured	1 
How to Make an Exam Appointment	2 
On the Day of Your Exam	3 
Knopman Marks Method	4 
Financial Industry Introduction	5 
Regulatory Entities and Agencies	6 
Market Participants	7 
Section 1: Understanding Products and Their Risks	11 
1.	Equity Securitie...