The Securities Industry

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The securities industry involves a wide variety of activities. Some securities are traded on stock exchanges, while others are traded between investors. Listed securities are usually traded in exchanges, as these ensure a stable, regulated market. However, there are also informal electronic trading systems, where securities are traded among investors directly.

The securities industry is regulated by various government agencies, including the SEC. Public offerings in the United States must be registered with the SEC and state securities departments. In some cases, brokerage industry Self-Regulatory Organizations (SROs) also take on regulatory roles. Examples include the Financial Industry Regulatory Authority and the National Association of Securities Dealers. In 1946, the Supreme Court created a standard definition of a security offering. This standard is based on four criteria.

The SIE Exam, also known as the Securities Industry Essentials Exam, is designed to evaluate the candidate’s knowledge of the securities industry. It measures candidates’ knowledge of the markets and regulatory agencies, as well as prohibited practices. Those seeking certification in the securities industry must have a minimum of a C or better in all of the coursework they complete.

The securities industry requires strong analytical and math skills. It also requires excellent communication skills. In addition, the job involves identifying opportunities and following up with clients.


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