Passmasters' Essential 12 SIE Exam Questions For Capital Markets Success

Welcome to PassMasters’ Questions of the Week with Suzy Rhoades, our expert securities exam prep instructor.

Are you studying for the SIE Exam? If so, then this is the video for you.

Did you know that anyone age 18 or older can take the Securities Industry Essentials Exam? No sponsor is needed!

In this video, Suzy will cover questions that you can expect to see on the SIE exam reflected in your score report for Section 1 from FINRA's content outline. Section 1 of the SIE exam has 12 questions under the heading of Knowledge of Capital Markets. Suzy will be using questions presented directly from our SIE exam prep licensing course.

Check out Suzy's SIE Exam Prep Course here:
https://passmasters.com/securities/sie/

Are you studying for another securities license exam? Chances are Suzy can help you there too. To see all Suzy's securities exam prep course offerings check out the following page of our site:
https://passmasters.com/securities-ex...

We will be posting questions of the week type videos frequently, so please make sure to subscribe to our page and activate notifications.

See what Artavius recently had to say about Suzy's SIE course:
“PassMasters is AMAZING! I failed the SIE exam twice, then after purchasing PassMasters I blew the test out of the water. Suzy is very detailed and interactive. Thanks, Suzy!”

Do you have questions about anything covered in this video? Or about any of the securities exams in general? Post a comment, and we will respond asap. Thanks for viewing, and happy studies!

Contents of this video
0:00 - Welcome
1:11 - Practice Question 1 – Municipality looking for raise money
2:28 - Practice Question 2 – Economic indicators
3:50 - Practice Question 3 – How does the sale of stock affect financials
5:29 - Practice Question 4 – Client charged a commission
6:04 - Practice Question 5 – Who manages a trust
6:28 - Practice Question 6 – Who sets monetary policy
6:55 - Practice Question 7 – Accredited investor requirements
8:01 - Practice Question 8 – Sale out of firm's account
8:32 - Practice Question 9 – Federal rule for new issue to be sold in one state only
9:10 - Practice Question 10 – NYSE and NASDAQ
9:38 - Practice Question 11 – Who investigates financial crimes
10:13 - Practice Question 12 – SIPC coverage
11:02 - Recap
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