SIE: Restricted Securities

Taken from our Securities Industry Essentials Exam

Definition of the term Restricted Securities...

securities acquired in a private placement or certain other circumstances, whose resale is prohibited for a certain period of time from the date of purchase.

+ Read More

More SIE Info

What are people saying?

Create an Account

We have an excellent Audiobook for the SIE!

Since you're reading about SIE: Restricted Securities, you might also be interested in:

Series 66 - STRIPS

Series 3 - trend line

SIE - non-diversified company

Series 27 - don't-know notice (DK notice)

Series 7 - alpha

Series 66 - mortgage-backed security (MBS)

Series 63 - non-issuer distributions

Series 6 - Employee Retirement Income Security Act (ERISA)

Series 53 - correspondence

Series 53 - bid-wanted

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I only used the exam simulator and it was the best decision I made! I read a different textbook and used Solomon solely for test prep questions. I promise you the $70 or so this cost is 100% worth it. Every question that I got on my exam (May 2020) was related to all the questions asked in the Solomon exam simulator. If you are willing to put in the work and take all of the chapter quizzes and then take 5 each of the time/not timed exams you will pass. Another good thing is that you can download their app and take exams on your phone - I found this very useful when I didn't want to always be on my laptop all day.

Nick Sciortino, Barrington, NJ

This program and study prep is amazing. I took and passed my SIE on the first attempt. If you follow the study guide you should be fine. I got to tell you I have never passed a test on the first go. Thanks, Jeremy! I appreciate all your tips and help you posted on the feed. It was all very beneficial to my success.

Tyrone Foster, Hall Labs. Provo, UT

I passed the SIE with the help of the practice exams from this course. The practice exams from this course seemed a bit needlessly difficult compared to the actual exam I took. While it prepared me well, it caused a lot of unnecessary stress. Don’t over do it on the practice exams.

Christian Heer, Merrill lynch . Los angeles, CA

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI

Passed the SIE on my first attempt! Read the Kaplan study book and didn’t feel prepared enough to pass the exam. Stumbled upon Solomon exam prep and am so thankful I did. The exam simulator with the detailed answers did so much more to help me prepare. Went into the exam confident and passed. I’ll be back for the Series 7!

John N, Indianapolis IN

I utilized the Solomon SIE and Series 6 Top-Off study guide package. I passed on the first time by following the exact recommendations. While the test is different than the study exam questions it covers the content in a detailed way preparing you to successfully pass the exam. Great product and customer service!

Michael Gehrich, Allstate Insurance, Ft Myers, FL