Browse SIE Exam Prep
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- 5.1.1 Securities Act of 1933
- 5.1.2 Securities Exchange Act of 1934
- 5.1.3 Investment Company Act of 1940
- 5.1.4 Investment Advisers Act of 1940
- 5.1.5 Securities Investor Protection Act (SIPA)
- 5.1.6 Insider Trading and Securities Fraud Enforcement Acts
- 5.1.7 Sarbanes-Oxley Act
- 5.1.8 Dodd-Frank Wall Street Reform and Consumer Protection Act
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3.1 Equity Securities
In this section
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Common Stock: Understanding Ownership, Rights, and Risks
Explore the intricacies of common stock, including its characteristics, rights, benefits, and risks, essential for mastering the SIE Exam.
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Preferred Stock: Understanding Characteristics, Types, Benefits, and Risks
Explore the in-depth characteristics, types, benefits, and risks of preferred stock, a hybrid security with features of both equity and debt. Learn how preferred stock is relevant to the SIE Exam, including its impact on dividends, liquidation priority, and interest rate sensitivity.
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Rights and Warrants
Explore the intricacies of stock rights and warrants, their purposes, characteristics, and risks. Understand their role in the securities industry and how they are tested on the SIE Exam.
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American Depositary Receipts (ADRs)
Explore the intricacies of American Depositary Receipts (ADRs) in the U.S. securities market. Learn how ADRs facilitate international investments, their benefits, risks, and regulatory requirements for the SIE Exam.
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