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 7 - consolidation

Series 26 - right of accumulation (ROA)

Series 52 - debt financing

Series 66 - money market funds

Series 66 - UGMA account

Series 66 - equipment trust certificate (ETC)

Series 24 - Midpoint Peg

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

When I took my SIE exam, I only spent 30 minutes taking the exam and I passed. It is amazing how Solomon goes into detail regarding information. You guys provide more information than Kaplan's SIE book. Thank you so much for helping me succeed in my endeavors. Onward and upward to the Series 7. I'm choosing Solomon again!

Zach Sloan, Cambridge Investment Research, Fairfield, IA

I have now used Solomon for the SIE, series 6, and 63. I am ordering my 7 materials now. The structure and resources are right on target. The practice exams are more difficult than the exam which makes taking the exam much easier. I give all of the credit to Solomon for my 100% pass rate so far. I recommend Solomon to all of my coworkers.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY

Passed the SIE!

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

After failing the SIE with a different study company, I passed after using Solomon! I then passed the S6, S63 and S65 on the first try after studying with Solomon materials! I loved how easy the material was to comprehend and the practice tests were amazing! I felt well prepared for each test! Thank you Solomon!

Sara Hays, State Farm. Atascadero, CA

Completing the SIE was a requirement for my current position. I looked around at different materials and started with Kaplan. The material was dry and seemed to have many errors in it. I decided to scrap that and move on to Solomon Exam Prep which I learned about from Reddit. The reviews were outstanding so I decided to give it a try. After going through the material once I felt beyond confident to take the exam. The study guide, audio book, exam simulator, and videos were extremely well done. After two weeks of reviewing and acing practice tests, I took my actual SIE exams and flew through it with about 1/3 of the time remaining when I finished. The preparation from Solomon Exam Prep helped me gain the confidence and understanding I needed to pass the exam on the first try!

Jared M. Albany, New York