SIE On-Demand Lecture
$
166.00
- Available for 6 months from first use, with an option to purchase additional time in the future
- Total program time is approximately 21 hours
- Requires Internet connection, a streaming-video-enabled machine, and audio capabilities
- Optimized for all recent browser versions. Internet Explorer 10 or above required. The latest version of Google Chrome is recommended for optimum load times.
Chapter list:
1. Overview of Market Participants and Market Structure
2. Overview of Regulation
3. Equity Securities
4. An Introduction to Debt Instruments
5. Types of Debt Instruments
6. Investment Returns
7. Packaged Products
8. Variable Contracts and Municipal Fund Securities
9. Alternative Investments
10. Options
11. Offerings
12. Orders and Trading Strategies
13. Settlement and Corporate Actions
14. Customer Accounts
15. Compliance Considerations
16. Prohibited Activities
17. SRO Requirements for Associated Persons
18. Employee Conduct and Reportable Events
19. Economic Factors
20. Investment Risks