2021 SIE Exam Lesson 2 Common Stock - a podcast by Franz

Securities Industry Essentials SIE Exam Sample Lesson 2 Common Stock
This portion of the Common Stock lesson is a portion of the sample lessons we will be sharing with you for the new 37 hour and 10 min audio course"Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition"This is the SIE Exam Lesson on Common Stock

Total Course 37 hours 10 Min37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam

59 Audio Lessons for Securities Industry Essentials Exam13 Bonus Lessons about the finance industry

Securities Industry Essentials Exam Podcast Audio Lessons for the SIE ExamThe full course details:
37 hours 10 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam59 Audio Lessons for Securities Industry Essentials Exam

13 Bonus Lessons about the finance industrySecurities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam
New Series 7 Exam and SIE Exam details.All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed..
https://www.finra.org/industry/essentials-exam“Securities Industry Essentials (SIE) Exam
Available Beginning October 1, 2018The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
Key Features of the Essentials Exam________________________________________
• The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.• Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
• Essentials exam results are valid for four years.The Essentials Exam at a Glance
________________________________________Number of Items 75
Format Multiple ChoiceDuration 105 minutes
Passing Score 70%Cost $60”

New Series 7 ExamThe New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function.
Major Job Functions Percentage of Test Questions Number of Test Questions(F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9
(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11(F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91
(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14TOTAL 100% 125”

The five job functions of the new Series 7 General Securities Representative Exam will be:“Seeks business for the broker-dealer through customers and potential customers”

“Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives”“Opens accounts, transfers assets and maintains appropriate account records”

“Provides customers with information on investments and makes suitable re...

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