Kaplan Securities Industry Essentials (SIE) License Exam Manual, 4th Edition – ISBN 9781078847728

The Kaplan Securities Industry Essentials (SIE) License Exam Manual, 4th Edition delivers comprehensive preparation for the FINRA SIE exam. Developed by Kaplan Financial Education, one of the most trusted names in securities and licensing training, this manual provides structured content coverage, key concepts, chapter summaries, and essential practice tools for exam readiness.

Product Details

• Title: Kaplan Securities Industry Essentials (SIE) License Exam Manual
• Edition: 4th Edition
• Author: Kaplan Financial Education
• ISBN-13: 9781078847728
• Format: Paperback
• Price: $29.99
• Minimum Order: 5 Copies
• Availability: In Stock | Free Shipping

What This Manual Covers

This edition provides complete, exam-focused coverage aligned with current FINRA SIE content areas. Kaplan’s structured learning system helps candidates strengthen foundational securities knowledge and improve exam performance.

• Regulatory Framework: FINRA rules, SEC oversight, and compliance standards.
• Securities Products: Stocks, bonds, mutual funds, options, and alternative investments.
• Market Structure & Trading: Order types, pricing, quoting, and execution.
• Customer Accounts & Industry Practices: Suitability, disclosures, and account types.
• Risk Concepts: Market, credit, liquidity, and systemic risks.

Key Features of the 4th Edition

• Updated to reflect current SIE exam specifications
• Clear explanations and margin definitions for quick reference
• End-of-chapter quizzes to reinforce key concepts
• Professional-level diagrams and learning aids
• Designed for independent or classroom study

Who This Book Is For

• First-time SIE candidates
• Broker-dealer trainees
• Students entering finance or securities careers
• Firms training groups of new hires (bulk-friendly with minimum 5 copies)

Why Order from BooksGoat?

• Free Shipping on all orders
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Summary

The Kaplan SIE Exam Manual, 4th Edition provides the structured, exam-focused preparation required to pass the Securities Industry Essentials exam with confidence. Ideal for training programs, universities, and candidates entering the securities industry. Minimum order: 5 copies.