SIE: Direct Registration

Taken from our Securities Industry Essentials Exam

Definition of the term Direct Registration...

registration of a security on an issuer’s books in the owner’s name, where either the issuer or its transfer agent holds the security in book-entry form on the owner’s behalf.

+ 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: Direct Registration, you might also be interested in:

Series 53 - revenue anticipation note (RAN)

Series 65 - leverage

Series 82 - record owner

SIE - registered representative (RR)

Series 6 - alpha

Series 26 - asset

Series 65 - equipment trust certificate (ETC)

Series 63 - fiduciary responsibility

Series 51 - put option

Series 79 - large cap companies

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Passed SIE on the first attempt! The multi-prong study approach Solomon puts together - read, take notes, watch videos, practice tests, review - is very effective. By the time I had worked through the plan and used the reports to bolster my weak areas, I walked into the test center with high confidence. It took a lot of time and was hard work, but the test plan and materials made it possible.

Dave Stakland, Cambridge Investment Research. Fairfield, IA.

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.

I got my undergrad degree in musical theater, never having studied or practiced anything regarding securities. I've been working as an actor over the last 10 years, and figured the Covid-19 quarantine presented an opportunity to learn something new. Solomon took me from knowing NOTHING about securities to passing the SIE on the FIRST TRY! I finished in under an hour and felt extremely confident about the entire test. I read every chapter twice, watched all the video tutorials, listened to the audiobook while driving, and took a large amount of practice exams. Do this - and you will be over prepared - I promise. I will absolutely be using Solomon again for any top-off exams!

Corey Cott, Philadelphia, PA

Passed the SIE!

Chris McHugh, McHugh Ins Group, Inc., Boca Raton, FL

I passed my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

Solomon Exam Prep is the "go-to" study guide for any busy professional in our industry. Extraordinary customer service and responses to your questions via email. Excellent flow of subjects, quizzes, test and audiobooks for on-demand refresh. Don't settle for any other test platform for our industry. The goal is to pass the test and they have the staff and platform to help you achieve your goal.

Robert Jones, US Capital Global. San Francisco, CA