Securities Industry Essentials Podcast Audio Lessons for the SIE Exam Preparation are now available for download!
Mastering the SIE Exam: Your Comprehensive Guide to SIE Exam Preparation
Boost Your Finance Career with Our SIE Exam Audio Lessons for SIE Exam Preparation
Are you ready for the SIE Exam preparation in order to to elevate your career in the securities industry? The Securities Industry Essentials (SIE) Exam is your entry point into this exciting field. Introduced by FINRA in 2018, the SIE Exam is now a fundamental step for anyone looking to excel in the securities profession. Learn about the SIE Exam’s history, purpose, content, and preparation strategies, and discover how our SIE Exam audio lessons can help you succeed.
The SIE Exam: A Key Milestone
The Financial Industry Regulatory Authority (FINRA) launched the SIE Exam to streamline the securities licensing process. Before the SIE Exam, candidates had to pass various role-specific exams, like the Series 7. The SIE Exam preparation audio course prepares you for the essential knowledge to take the one comprehensive test, setting a unified standard for entry-level professionals.
Why the SIE Exam is Important
The SIE Exam evaluates your understanding of critical securities industry concepts, regulations, and ethical practices. It aims to:
- Standardize Licensing: Establish a consistent baseline of knowledge.
- Assess Competency: Ensure proficiency in regulatory compliance, product understanding, and ethical considerations.
- Promote Compliance: Demonstrate awareness of industry regulations and ethical standards.
- Reduce Risk: Equip you with the knowledge to avoid misconduct and non-compliance.
Key Topics Covered in the SIE Exam
The SIE Exam covers a wide range of topics, including:
- Capital Markets: Structure and functions of financial markets.
- Regulatory Environment: Rules and agencies governing the industry.
- Products and Risks: Different securities and investment products.
- Trading and Accounts: Trade processes, margin requirements, and ethical standards.
- Economic Factors: Macroeconomic indicators and financial statement analysis.
How to Prepare for the SIE Exam
To excel for the SIE Exam preparation, adopt a disciplined and comprehensive study approach. Effective strategies include:
- Utilize Study Materials: Access reputable SIE Exam preparation guides, textbooks, and online resources.
- Interactive Learning: Engage with SIE Exam preparation lessons and multimedia resources.
- Practice Exams: Familiarize yourself with the exam format and identify areas for improvement.
- Stay Updated: Keep abreast of regulatory changes and industry trends.
Why Choose Our SIE Exam Audio Lessons?
Our SIE Exam preparation audio lessons offer a dynamic and flexible learning experience, ideal for fitting into your busy schedule. Here’s how our audio lessons can enhance your preparation:
- Convenience: Study during commutes, workouts, or any downtime.
- Reinforced Learning: Improve retention through repeated listening.
- Interactive Experience: Engage with exercises and Quizzes.
- Supplemental Resources: Complement traditional study materials for a well-rounded preparation.
Your Path to Success
At SIEpodcast.com, we are dedicated to helping aspiring financial professionals like you succeed in the SIE Exam. Our audio lessons cover critical topics, ensuring you’re thoroughly prepared to pass the SIE Exam and advance your career.
The SIE Exam is accessible to anyone aged 18 and above, regardless of association with a financial firm. This opens doors to a broader range of candidates, from students to career changers. Once you pass, your results are valid for four years, giving you ample time to plan your career steps.
Invest in Your Future Today
Join the ranks of successful candidates who have benefited from our comprehensive SIE Exam audio lessons. Enroll today and take a significant step towards securing your future in the securities industry.
Don’t wait—start your journey to success with SIEpodcast.com!
Here is what my customers say about my SIE Exam Audio Lessons
8/31/2019
From: M****** L*****, MD
Subject: SIE
Message Body:
Hi Franz, Thanks so much for the phone call the other day really appreciate the connection. Wanted to let you know that I did passed the SIE exam this afternoon. I feel like I did fairly well although as you may know you only get find out the exact score when you don't pass. I did use the entire 105 minutes and was a great joy to get the pass certificate. Will have to say that one of the best part of the past 4 weeks of studying has been listening to your podcasts. I did not take a packaged course just studied the book, took some practice tests and listened to you seemed to be enough. My financial/capital market knowledge base was so low I really did have to do some intense studying, reminiscent of my old medical school days. During your call you mentioned …… the series 7 podcast via email. ….. I'm still looking to broaden my knowledge base. No doubt I will be wanting to dive into the sailing podcast in the not to distant future. So thanks again for everything and not sure if you are taking on new clients for a wrap account but please reach out if that is a possibility. Your biggest fan. Michael
7/6/2019
Valricia B***** *******@ymail.com
From Valricia
Subject: I passed!!!!!
I passed, best 100 dollars I ever spent!!
Thank you so much!!!!
8/7/2019
E***** T****** e*********@gmail.com
These audios are really great and helpful
7/18/2020
mohammed-******@att.net
Hi Franz,
I am on Lesson #23 of SIE.
i am glad I bought your audio podcast. I started with Kaplan. I bought the book. Studied for couple of months. Had I not bought your podcast, I would have definitely failed.
I am yet to take the exam. I am an engineer, with math and science. It is like learning ABC's again. Only God knows.
Thank you anyway.
Mohammed
Previous
Next
From: Hayley D ***** [mailto:hayley*******@gmail.com]
Sent: Monday, December 18, 2017 6:54 PM
Subject: Thank you for your glorious podcast!
Hi Franz,
I’m studying for the series 7 while working a full
time (12 hour/day) job, have a toddler at home
and another kiddo on the way. As a supplemental tool as I drive between meetings in Los Angeles, it’s brilliant. I especially love the editorial commentary as it puts everything into perspective. I haven’t tried the videos or done any of the quizzes yet but I’m a big fan so far and just getting started. My test is January 27. Wish me luck! Any tips or additional feedback you have to share much appreciated.
Your biggest fan,
Hayley
tim*****@gmail.com wrote:
Hi Franz,
Thank you so much for the podcasts. I started out with the free ones and then ordered the package. This week I passed!
I studied and read for a few months in between work and listened to your podcasts in my commute to work and anytime in the car. Two days leading up to the test I basically stopped working to study full time and the day before got a hotel room near the testing center and did practice tests all day and night. You state multiple times that your podcasts are not going to get you to pass alone but I am certain that they blessed me with the extra understanding and reinforcement that helped me pass!
Best regards,
Tim *****
kj*******@gmail.com
Subject: Podcasts-Thank you!
Message Body:
Hi Franz,
I wanted to say thank you for putting out your podcasts. I purchased the Series 7 about a year ago and the 63 about 4 or 5 months ago.
I felt very comfortable going into the Series 7, which your podcasts laid a very solid foundation for me. The podcasts alone would not have allowed me to pass the exam (as you clearly point out several times in the podcast), but they got me about 70% there, and gave me the foundation I needed to pass my exams the first time.
As for the Series 63- there's no doubt in my mind that I would have failed without your podcast. I listened to the podcast on the way down to my exams (about 3 hours), and thank goodness I did! I could hear your voice in my head as the questions popped up, which helped me pass the 63 on the first time as well.
I am grateful that you took the time to put the podcast out, at a very reasonable rate. Thank you very much.
Have a great day!
Sincerely,
Kevin ******
From: Kristie Vold****g <k******g@gmail.com>
Subject: Thank you
Message Body:
I just wanted to thank you for putting this podcast out there. I passed my series 7 exam on the first attempt yesterday by listening to your podcasts while running and using the Kaplan product. Great job and THANK YOU!!
PASS SERIES 66 !!
Hi Franz:: Good evening ............. Just to provide a little feedback from my exam that I passed this morning ( SERIES 66)
I bought your Post Cast Series 63 and used it for the SERIES 66 exam. basically once again, I was able to answer questions directly from your Post Cast.
You have a very good training material, just with a little more promotion more people will buy it
Some suggestions:
- Package a complete SERIES 66 Audio / Pod Cast ( Only One download for iPhone)
- Keep using real examples, that makes more sense at the time of training. I am an Engineer willing to learn, I was always using logic and common sense to understand
- Keep using your Dad and Mom example, probably the best part for me. We are not in this world without them!! .... and the example is real. ..... the competitor: 'Salomon' Pod Cast is a person reading a book like a computer.
- Keep using your firm as a real example on registered Investment Advisor
- Keep talking about general comments of the Investment history in USA. This is also part of the learning process to understand why the government implemented the laws and regulations
I have requested 'English as a second language' option and NASAA was able to provide me an extra hour for the exam. I was able to complete it 40 minutes before the end of the time. My score was : 76 ( 75 Law and Regulations / 73 Client Investments / 75 Investment Vehicles / 100 Economic Factors)
I work for Merrill Lynch here in Houston Texas and based on this experience I will promote your products to my coworkers. By driving back and forth from Home to the office, the Pod Cast was a perfect learning material. We use KAPLAN as a main standard training platform, it is fine but I was trying to use all the available resources.
Thank you very much for your support!
Regards,
Luis
Hi Franz,
No problem then, just wanted to make sure there was a site-wide outage (the whole gumroad system was down about a week ago).
While I have you direct, I also want to take a moment to say thank you for putting this series together. I am primarily an auditory learner, and this has been incredibly helpful in learning/reinforcing this material. It is also great that you updated it for 2017, so again big thanks.
-Dave
Hi Franz,
No problem then, just wanted to make sure there was a site-wide outage (the whole gumroad system was down about a week ago).
While I have you direct, I also want to take a moment to say thank you for putting this series together. I am primarily an auditory learner, and this has been incredibly helpful in learning/reinforcing this material. It is also great that you updated it for 2017, so again big thanks.
-Dave
From: Luis --- <--@yahoo.com>
Subject: Pass Series 7 !!
Message Body:
Hi Franz, I've listened to your Series 7 podcasts daily ( while driving my car to the office: Back and Fort) .......... Las week, I successfully have passed the SERIES 7 exam
I would like to mention that I was able to answered some questions directly from the PodCast.
The real examples help me a lot to understand the Financial environment and improved my learning process.
Appreciate your support!
Have a good week!
Regards
Luis
Hi Franz,
I am growing by knowledge of Series 7 and 63 exams.
Thank you for your podcasts. I would be happy to review the 63 podcasts.
You are one of the best out there.
Ian
Franz,
I've been binge listening to your podcast and videos in preparation for the series 7 exam next Friday. Its been a good resource as I'm commuting back and forth to work and for extra learning on the go. I just looked up your profile to learn more about your background and discovered we share the same alma mater! I now live in Austin, TX, but I just finished an accounting degree at USU.
Just wanted to reach out and say thank you for your content.
Thanks,
Mike
Hello Franz, I listened to your Series 7 podcasts daily and took the online quizzes and they helped me pass the 7.
Would you make a few podcasts for the Series 24?
Thank you,
Susan
Greetings Franz!
You'll be happy to know I took my test last week and got an 85% on the series 7. Thanks for all your help.
I read The Buffett Way and halfway through The Intelligent Investor. Thanks for recommendations. Now onto the series 66 test on November 21st.
Cheers!
Eli
Thank you Franz. I do enjoy listening to these lessons while I drive. It is helping me get the background info so that when I have to take the course for work, I will be better prepared.
thanks again.
Catherine
Franz! I started studying for my 7 a year ago this week and used your podcasts along with my other study materials to help understand some topics better. They were extremely helpful and know they contributed to my passing score of 87. I recommend your podcast to all of our new hires. Thank you for these podcasts- seeing your email in my inbox gave me a touch of nostalgia, though I don't miss the studying!
Cheers,
Brian
I have listen to your podcast as I was making a career change from managerial food and beverage industry to financial industry. Two years later I find myself working for a large brokerage firm getting approval to take Series 7 test. Since my role doesn't require series 7, I have to self study after work and on weekends with little help but study book. Other people in my group are asking for material to supplement their reading and I mentioned your sight. I told them to listen to podcast on apple to see if it meets their standard and then go to site and buy the material. I was amazed that none of them are aware of your site. I find information so knowledgable such as the K1 Partnerships that is constant question from clients. I know my company has strict rules on social media and communications but I wanted to to tell you thank you for the material. I believe my way of saying thanks is spreading the word to make it worth all the time and effort you put into this site.
Thank You
Jerome
PS. I also went to ski school, CU Boulder and stayed in Colorado
Subject: Series 66
Message Body:
Purchased your series 7 podcast...VERY helpful. Please let me know if you have or know of similar podcast on series 66 and Series 24. Thank you
Joe
Subject: Series 7 exam
Message Body:
Hello Franz,
I just want to thank you for your podcasts. I purchased all 30 lessons to enhance my prep . I was recently successful in passing the series 7 exam. I work full time and have two children, and can't imagine passing without your podcasts. They were very comprehensive and well orgazinized.
Thanks again!
Beth
Subject: Series 7 Podcast Comment
Message Body:
This message is for Franz, I just had to take a second out of my incredibly busy schedule to say that I THOROUGHLY enjoy the podcasts!
They are a TREMENDOUS help and I appreciate every second.
Thank you for making this!
Best,
Hassan
Franz:
I am in licensing through Waddell & Reed. They recommended The Keir Smart 7 course. I am struggling with “debt” (imagine that). I purchased your episodes 4-8 as supplemental info. I listened to a free podcast of yours and it was easy to understand. Your voice is quite calming.
I look forward to providing some feedback to you on your tools.
Thanks for taking the time to develop these podcasts. I hope they help.
Bill
Hi Franz:
I passed the Series 7 Exam on Friday with 92%. Thank you very much for providing the Podcasts and Videos both of which were very helpful in my studies.
Best wishes,
Christine
From: R. Keith -----, CFA Subject: Series 7 Podcasts - a very significant help Message Body: Franz, after 20 years on the "buy side" I have recently joined JP Morgan Securities and had to "re-take" the 7. I had it once in the '90s but could not keep it when I changed firms at some point in 2002. I do a significant amount of travel between Atlanta, Charleston SC, and Jacksonville FL, and found your podcasts to be tremendously helpful in my study process. Your approach and style is perfect for listening to these in the car as one travels. Length and content are excellent. I also took a Kaplan in class course and found the overlap between your podcasts and their focus to be significant. I gave the podcast a full 5-star rating on iTunes. I took the test Monday and made what I consider to be a "perfect score" - a 74! With 2 Finance degrees, an MBA and CFA, I know a bit about tests and can honestly tell you that rarely (less than 10% of the time) could I get the answer choices below 2 good answers. They have made it very tough. Thanks again for your efforts in putting this together. I have let my Compliance Head at JPM know how helpful the podcasts were so perhaps they will use you in the future. Regards, R. Keith -----,
From: Stephen----
Subject: Study materials...
I've been listening to your podcasts and they are a great aid to me in studying for Series 7! I tend to learn by audio well, so I can study while I am washing the dishes or cleaning up the house. It's great! I just wish there were more podcasts out there like this.
I plan to download the videos for free. I will pay you a donation as this has been infinitely valuable...after starting at Fidelity and getting paid (in a few weeks). Until then, things are a bit tight.
Again, thanks!
- Stephen
From: Naomi -----
Subject: Thank you for creating this
I've been trying to study for this exam since June. I work with Wells Fargo Advisors and am expected to pass this exam to begin working more exclusively for one of my FAs as a partner. It has been so hard to find time to study and make progress. From June to December I was able to master Equities and have been stuck in Debt for a long time. I'm taking the chapter exams and can't pass with more than a 70% average and I need an 80% to move onto Options. I just found your product and am so looking forward to this style of learning. Just reading and testing wasn't giving me the actual, personal explanation of what is actually going on. I'm using the Series 7 material : Smart 7 Pass Perfect that my Company paid for. I just finished all your podcasts ending Debt and am moving on to the video series. I hope to take another exam after I go through your series and check my understanding. Wish me luck!! Thank you for not giving up!!!
Naomi
From: Thomas ------
Subject: Thank you!
Honestly, this is awesome. You put some time into this and I can only say thank you. It's wonderful to see people helping, just to help! Not looking to charge 500 bucks (STC..Kaplan..cough cough), but really just applying their talents and knowledge with good intentions of hoping it helps someone else down the road. The material is perfect. Being able to apply the concepts from the books to your site is beyond helpful. I'll be sure to share this with everyone who's taking the series 7. Thanks for being a good person, and a genius really. Have a good year!
From: Mark Javier
Account Executive at Securitize - Digital Security Issuance Platform and Transfer Agent
Via: Linked in
December 10, 2019
I passed the Securities Industry Essentials (SIE) Exam today!
Special thanks to Franz Amussen
for making the SIE Podcast, Wiley Efficient Learning for producing such great test prep material, and my friend Mihai Dinulescu for studying with me.
Thank you Franz Amussen! I really enjoyed listening to you describe the different concepts.
Previous
Next
Securities Industry Essentials Podcast Audio Lessons for the SIE Exam is now available for download!
Securities Industry Essentials Exam Podcast, Audio Lessons for the SIE Exam
Lesson Material 25 hours 25 min
Bonus Material 11 hours 52 Min
Total Course 37 hours 17 Min
73 Audio Files
Table of Contents
| Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam | ||
| Table of Contents | ||
| Title | Min | Sec |
| Lesson 1 Introduction to the securities industries essentials podcast | 23 | 13 |
| Lesson 2 Common Stock | 35 | 20 |
| Lesson 3 Preferred Stock | 22 | 6 |
| Lesson 4 Special Securities | 14 | 30 |
| Lesson 5 Fixed Income Part 1 | 23 | 18 |
| Lesson 6 Fixed Income Part 2 | 41 | 22 |
| Lesson 7 Fixed Income Part 3 | 40 | 33 |
| Lesson 8 Municipal Debt Fixed Income Part 4 | 37 | 37 |
| Lesson 9 Money Markets Fixed Income Part 5 | 20 | 38 |
| Lesson 10 CDS-ARS-SP Fixed Income Part 6 | 27 | 26 |
| Lesson 10.1 Transition from LIBOR to SOFR | 7 | 30 |
| Lesson 11 Options Part 1 | 24 | 24 |
| Lesson 12 Options Part 2 | 21 | 2 |
| Lesson 13 Options Part 3 | 18 | 27 |
| Lesson 14 Options Part 4 | 20 | 37 |
| Lesson 15 Options Part 5 | 30 | 2 |
| Lesson 16 Options Part 6 | 23 | 46 |
| Lesson 17 Investment Company Act of 1940 | 12 | 8 |
| Lesson 18 Mutual Funds Part 1 | 28 | 54 |
| Lesson 19 Mutual Funds Part 2 | 22 | 25 |
| Lesson 20 Mutual Funds Part 3 | 29 | 17 |
| Lesson 21 Unit Investment Trusts | 27 | 1 |
| Lesson 22 Annuities | 23 | 32 |
| Lesson 23 Securities Act of 1933 | 26 | 45 |
| Lesson 24 Securities and Exchange Act of 1934 | 32 | 28 |
| Lesson 25 Sarbanes-Oxley Act, Blue Sky Laws etc. | 28 | 3 |
| Lesson 26 FINRA Rules pt 1 | 30 | 19 |
| Lesson 27 FINRA Rules pt 2 | 28 | 41 |
| Lesson 28 Municipal Securities Rule making Board Rules MSRB | 38 | 31 |
| Lesson 29 Securities Trading Markets part 1 | 28 | 21 |
| Lesson 30 Securities Trading Markets part 2 | 23 | 1 |
| Lesson 31 Securities Trading Markets part 3 | 28 | 54 |
| Lesson 32 Securities Trading Markets part 4 | 35 | 21 |
| Lesson 33 Securities Trading Markets part 5 | 18 | 51 |
| Lesson 34 Stock Fundamental Analysis pt. 1, Balance Sheet pt. 1 | 29 | 20 |
| Lesson 35 Stock Fundamental Analysis pt. 2, Balance Sheet pt. 2 | 25 | 33 |
| Lesson 36 Stock Fundamental Analysis pt. 3, Balance Sheet pt. 3 | 36 | 17 |
| Lesson 37 Stock Fundamental Analysis pt 4, Income Statement part 1 | 32 | 32 |
| Lesson 38 Stock Fundamental Analysis pt 5, Income Statement part 2 | 32 | 55 |
| Lesson 39 Stock Fundamental Analysis pt 6, Income Statement part 3 | 28 | 33 |
| Lesson 40 Stock Fundamental Analysis pt 7, Cash Flow Statement pt 1 | 16 | 8 |
| Lesson 41 Stock Fundamental Analysis pt 8, Cash Flow Statement pt 2 | 23 | 29 |
| Lesson 42 Stock Fundamental Analysis pt 9, Discounted Cash Flow | 13 | 30 |
| Lesson 43 Stock Fundamental Analysis pt 10, Ratio Analysis | 14 | 49 |
| Lesson 44 Technical Analysis | 19 | 4 |
| Lesson 45 Macro Economic Analysis | 38 | 49 |
| Lesson 46 Macro Economic and Portfolio Analysis | 34 | 44 |
| Lesson 47 Margins pt.1 | 27 | 6 |
| Lesson 48 Margins pt.2 | 7 | 32 |
| Lesson 49 SMA | 15 | 21 |
| Lesson 50 Underwriting | 39 | 46 |
| Lesson 51 REITS | 20 | 47 |
| Lesson 52 Partnerships | 31 | 52 |
| Lesson 53 FINRA Rules Review | 27 | 14 |
| Lesson 54 Yield Curve, Balance of Payments, Exchange Rates, Risk | 32 | 10 |
| Lesson 55 Product Specific Investment Risks | 13 | 13 |
| Lesson 56 529 Plans Local Government Investment Oiils ABLE accounts | 14 | 25 |
| Lesson 57 ETF and ETN, Stock Dividends Corporate Actions | 21 | 56 |
| Lesson 58 Customer accounts and registration AML rules | 17 | 14 |
| Lesson 59 SECURE Act and Accredited investors | 18 | 16 |
| Post Lesson Comments | 4 | 45 |
| SIE Exam Lesson Macrovoices Eurodollar University pt 1 | 47 | 35 |
| SIE Exam Lesson Macrovoices Eurodollar University pt 2 | 41 | 39 |
| SIE Exam Lesson Macrovoices Eurodollar University pt 3 | 43 | 39 |
| SIE Exam Lesson Macrovoices Eurodollar University pt 4 | 54 | 12 |
| SIE Exam Lesson Macrovoices Eurodollar University pt 5 | 16 | 9 |
| SIE Exam Lesson Macrovoices Eurodollar University pt 6 | 9 | 24 |
| SIE Exam Lesson Macrovoices Eurodollar University pt 7 | 14 | 0 |
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 1 Private Banking | 6 | 45 |
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 2 Reinventing yourself | 46 | 47 |
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 3 Alternative Investment offering terms and fee structures Venture Capital, Private Equity | 57 | 18 |
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 3a Angel Investing | 13 | 37 |
| SIE Exam Lesson Macrovoices Accredited Investor Academy pt 4 Hedge Funds, Fund-of-Funds, Managed Commodity Futures and CTAs | 5 | 34 |
| Total 36 hours 35 Min | ||
| Lesson Material 25 hours 18 min | ||
| Bonus Material 11 hours 52 Min | ||
| Total Course 37 hours 17 Min | ||
| 73 Audio Files | ||