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SIE Exam Prep - Section 1 Knowledge of Capital Markets Tutoring Replay

Some test takers give permission for their tutoring session to be shared with others. We thank them for paying it forward. Section 1: Knowledge of Capital Markets 1.1 Regulatory Entities, Agencies and Market Participants 1.1.1 The Securities and Exchange Commission (SEC) • The high-level purpose and mission of securities regulation • Definition, jurisdiction and authority of the SEC 1.1.2 Self-regulatory Organizations (SROs) • Purpose and mission of an SRO • Jurisdiction and authority of SROs (e.g., CBOE, FINRA, MSRB) 1.1.3 Other Regulators and Agencies • Department of the Treasury/IRS • State regulators (e.g., NASAA) • The Federal Reserve • Securities Investor Protection Corporation (SIPC) • Federal Deposit Insurance Corporation (FDIC) 1.1.4 Market Participants and their Roles • Investors (e.g., accredited, institutional, retail) • Broker-Dealers (e.g., introducing, clearing, prime brokers) • Investment advisers • Municipal advisors • Issuers and underwriters • Traders and market makers • Custodians and trustees • Transfer agents • Depositories and clearing corporations (e.g., Depository Trust & Clearing Corporation (DTCC), Options Clearing Corporation (OCC)) 1.2 Market Structure 1.2.1 Types of Markets • The primary market • The secondary market (e.g., electronic, over-the-counter (OTC), physical) • The third market • The fourth market 1.3 Economic Factors 1.3.1 The Federal Reserve Board’s Impact on Business Activity and Market Stability • Monetary vs. fiscal policy • Open market activities and impact on economy • Different rates (e.g., interest rate, discount rate, federal funds rate