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SIE.1.C.1 FINRA · SIE

Economic factors and business cycles

Node 3 of 13 in SIE

Objectives

  • Identify the key rules and §§ that apply to economic factors and business cycles.
  • Apply the SIE.1.C.1 knowledge element in a typical exam scenario.
  • Recognize common distractors and partial-credit answers.

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SIE.1.C.1 · SIE.1.C.2

Economic factors and business cycles

SIE · Section 1 — Knowledge of Capital Markets 1.C · Economic Factors

**The Federal Reserve** conducts monetary policy through three primary tools: • **Open market operations** — buying/selling Treasuries to adjust reserves and the federal funds rate. • **Discount rate** — rate at which banks borrow directly from the Fed (now split into primary credit, secondary credit, seasonal). • **Reserve requirements** — the ratio of deposits banks must hold as reserves. Set to 0% in March 2020 and remains there.

**Loose (accommodative)** monetary policy — low rates, Fed buying securities — tends to raise bond prices, weaken the dollar, and support equity valuations. **Tight (restrictive)** — rate hikes, QT — does the opposite.

**Fiscal policy** is set by Congress via taxation and spending. Running a deficit (spending > revenue) expands aggregate demand; surpluses contract it.

**Business cycle phases:** expansion → peak → contraction → trough. Indicators: • **Leading** — stock prices, PMI new orders, building permits, yield curve (inverted curve historically precedes recession 12-18 months). • **Coincident** — GDP, industrial production, employment. • **Lagging** — unemployment, CPI, prime rate, C&I loans.

**Inflation measures:** CPI (consumer basket), PPI (producer), PCE (Fed's preferred). The Fed targets 2% PCE inflation.

**Yield curve shape:** • **Normal** — upward-sloping (longer maturities yield more). • **Flat** — little spread across maturities, often precedes inversion. • **Inverted** — short rates > long rates; reliable recession signal historically (1978, 1989, 2000, 2006, 2019, 2022). • **Humped** — mid-maturities highest.

**International factors:** balance of payments, exchange rates, capital flows, sovereign ratings.

Federal Reserve Act §§13, 14 SIE Content Outline §1.C

Check yourself

3 quick questions — no score kept, just formative feedback.

  1. Q1 · SIE.1.A.1

    Which federal statute established the SEC and primarily regulates secondary-market trading of securities?

    Answer choices
  2. Q2 · SIE.1.D.2

    An issuer wants to raise $40 million from accredited investors using general solicitation. Which exemption applies?

    Answer choices
  3. Q3 · SIE.1.A.2

    The Securities Act of 1933 primarily regulates:

    Answer choices

Tutor

Scoped to SIE.1.C.1 · SIE.1.C.2 .

  1. Ask questions about this passage. Answers cite the specific corpus chunk and regulation. The tutor will never reproduce real exam items.