SIE (file format), elder but domestically fully implemented Swedish accounting information interchange file format, with same purpose as newer international XBRL GL and UN/CEFACT accounting XML files specifications
The Concord grape is a cultivar derived from the grape species Vitis labrusca (also called fox grape) that are used as table grapes, wine grapes and juice grapes. They are often used to make grape jelly, grape juice, grape pies, grape-flavored soft drinks, and candy. The grape is sometimes used to make wine, particularly kosher wine, though it is not generally favored for that purpose due to the strong "foxy" (sometimes described as candied-strawberry/musky) flavor. Traditionally, most commercially produced Concord wines have been finished sweet, but dry versions are possible if adequate fruit ripeness is achieved.
The skin of a Concord grape is typically dark blue or purple, and often is covered with a lighter-coloured epicuticular wax "bloom" that can be rubbed off. It is a slip-skin variety, meaning that the skin is easily separated from the fruit. Concord grapes have large seeds and are highly aromatic. The Concord grape is particularly prone to the physiological disorder Black leaf.
Concord was a historic mansion in Natchez, Mississippi. Built in 1789, it was the official residence of the Spanish Governors of Mississippi before it joined the United States. It was then acquired by the Minor family, who owned many Southern plantations, followed by a banker from New York. It burnt down in 1901.
History
The mansion was built for Carlos de Grand Pré in 1789. It was then known as Grand Pre. It was later acquired by Manuel Gayoso de Lemos, who renamed it Concord. His wife, Princess Theresa de Hopman of Portugal, died at Concord. Significant restoration was completed in 1794 or 1795.
Concord was chartered on September 15, 1780 to Reuben Jones and others from Rockingham, Vermont. Concord was first settled by Simon Willard, a fur trader, and two other men. It gets its name from Concord, Massachusetts.
Geography
According to the United States Census Bureau, the town has a total area of 53.5 square miles (139km2), of which 51.4 square miles (133km2) is land and 2.0 square miles (5.2km2) (3.80%) is water.
Demographics
As of the census of 2000, there were 1,196 people, 467 households, and 318 families residing in the town. The population density was 23.3 people per square mile (9.0/km2). There were 763 housing units at an average density of 14.8 per square mile (5.7/km2). The racial makeup of the town was 97.24% White, 0.25% Asian, 0.92% from other races, and 1.59% from two or more races. [
There were 467 households out of which 69% had children under the age of 18 living with them, 54.2% were married couples living together, 7.3% had a female householder with no husband present, and 31.9% were non-families. 22.3% of all households were made up of individuals and 9.6% had someone living alone who was 65 years of age or older. The average household size was 2.52 and the average family size was 2.93.
SIE Exam Tomorrow? This Afternoon? Pass? Fail? This 60 Minutes May Be The Difference!
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 c...
published: 08 Sep 2022
Andreas Gabalier - Sie [Live From MTV Unplugged, Wien / 2016] ft. Max Giesinger
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABALIER - MTV UNPLUGGED (Extended Version) ++
https://umg.lnk.to/AndreasGabalier_Unplugged
+++Folgt Andreas Gabalier im Netz+++
►Webseite: https://www.andreas-gabalier.at
►Facebook: https://www.facebook.com/AndreasGabalier
#AndreasGabalier #MTVUnplugged
published: 19 Oct 2017
SIE Exam: The best tips for passing the exam (Quick and Dirty Review ) 2023
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your next session with "Series 7 Whisperer" Ken Finnen or follow him across his socials to find more content to help pass your next exam.
https://CapAdvantageTutoring.com/
Twitter: @wallsttutor
Instagram: @Series7Whisperer
TikTok: Blue Collar Finance @finster1967
Facebook: FINRA Exam Prep
#Series7exam #SIEexam #FINRA #CapitalAdvantageTutoring #Series7Whisperer #lastminutereview #quickanddirty
Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage
If you are looking for a Series 7 top off tutor please visit
https://www.series7exam.org
Or check out Michael Weiss ( great tutor )
https://www.series7ex...
published: 04 Jan 2023
How to Pass the SIE Exam on Your First Try
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on your first try.
Link to my course- The CFA Study Blueprint:
https://aj-srmek-s-school.teachable.com/p/the-cfa-study-blueprint
If you have an idea of something you want me to cover in depth, please let me know because I take your requests seriously. Will be back with more CFA Exam tips in a couple of weeks so please submit more questions you would like to hear answered. Love you all!
- AJ
Please SUBSCRIBE for new videos every week! ▶ https://www.youtube.com/channel/UCF8oQ_rYiZ4xu5HHagy30Tg
Let’s connect:
Twitter: https://twitter.com/asrmek
LinkedIn: https://www.linkedin.com/in/aj-srmek-cfa%C2%AE-cfp%C2%AE-12a95492/
Patreon:...
published: 03 Mar 2023
SIE Exam FREE Practice Test 1 EXPLICATED. Hit pause, answer, hit play to reveal answer.
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Cu...
published: 31 Oct 2021
Everything you need to know about the FINRA SIE exam (overview video)
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it covers and how you can pass it.
The FINRA SIE is essential for anyone looking to work in finance. Passing this certification will show employers that you have the skills and knowledge necessary to succeed in the industry.
Achievable is a modern FINRA SIE course written by experts with 20+ years in the finance industry. Achievable uses technology to guarantee that you pass the first time. Try our FINRA SIE course for free to see if our style is right for you: https://achievable.me/?utm_source=basic-wisdom
0:00 Introduction
0:39 Why you should take the FINRA SIE
1:05 What is FINRA & the FINRA SIE exam?
1:35 Eligibility, structure,...
published: 19 Oct 2022
SIE Exam Prep: Part 3 (Regulations) #sieexam
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvantage/
www.capadvantagetutoring.com
also some budget-friendly help on the SIE
https://achievable.me/?utm_source=capital-advantage
also kindle unlimited has some free resources for members
https://amzn.to/2QiIUPd
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the...
SIE Exam Prep - Test Taking Tips, Tricks, and Memory Aids
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:00 Intro
6:47 RTFQ!!! Read The Full Question
7:29 RTFA!! Read The Full Answer Set
10:21 Read the last sentence first
11:06 Project the correct answer
12:33 Process of elimination
20:13 Sesame Street. One of these things is not like the other
21:52 T or F next to answer
23:05 Too long to be wrong
24:10 Guess "B" and move on
26:12 1,2,3 to remember accredited investors
27:50 Customer buy high and sell low
Know your bid from your ask https://youtu.be/0OD_-Q4LyRU
29:36 ABC for Agent Broker Commission or Advice Business Compnsation
31:19 Three As. Action, Asset, Amount NOT time and price
32:51 Splits more shares at a lower price or le...
published: 28 Oct 2022
SIE Exam Prep Investment Risks 33 Questions!!! EXPLICATED
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm...
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus ...
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 calendar quarters of declining GDP. Correction of verbal errata.
10:23 Monetary policy
10:31 Fiscal policy
10:40 Demand side versus supply side
11:46 Fed funds rate, discount rate. prime rate, broker call
12:20 SECURITIES
12:25 EQUITIES
12:43 Common stock
13:03 Preferred stock
13:34 Rights versus warrants
14:27 REITs
14:50 DEBT SECUITIES
15:30 Call risk
16:07 Convertible bonds
16:43 Inverse relationship of interest rates and bond prices
18:18 Secured bonds issued by corporations
18:39 Unsecured bonds issued by corporations
19:09 Liquidation priority
19:30 Zero coupon or original issue discount bonds
20:26 US Government securities
20:54 Money market securities
22:36 GNMA
22:51 Municipal bonds
22:53 General obligation versus Revenue
24:04 OPTIONS
27:32 DPPs AKA partnerships
29:03 MUTUAL FUNDS
30:17 Open end versus closed end
31:38 Open end versus ETF
32:18 Variable annuities
32:50 Systematic risk versus unsystematic risk
33:45 TRADING
33:48 Types of orders and time qualifiers
36:15 Cash dividends versus stock dividends
37:06 Types of settlements
37:34 Types of accounts. Cash accounts and margin accounts. UGMA/UTMA
40:30 Retirement accounts
41:24 Prohibited activities
43:40 Record retention. Most are 3 years
44:25 Regulatory framework
45:12 SIPC
45:52 Insider Trading Act of 1988
46:03 Cold calling
46:24 AML
47:23 State administrator. Blue sky. Uniform Securities Act
48:44 Percentages
50:14 Business and calendar days
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 calendar quarters of declining GDP. Correction of verbal errata.
10:23 Monetary policy
10:31 Fiscal policy
10:40 Demand side versus supply side
11:46 Fed funds rate, discount rate. prime rate, broker call
12:20 SECURITIES
12:25 EQUITIES
12:43 Common stock
13:03 Preferred stock
13:34 Rights versus warrants
14:27 REITs
14:50 DEBT SECUITIES
15:30 Call risk
16:07 Convertible bonds
16:43 Inverse relationship of interest rates and bond prices
18:18 Secured bonds issued by corporations
18:39 Unsecured bonds issued by corporations
19:09 Liquidation priority
19:30 Zero coupon or original issue discount bonds
20:26 US Government securities
20:54 Money market securities
22:36 GNMA
22:51 Municipal bonds
22:53 General obligation versus Revenue
24:04 OPTIONS
27:32 DPPs AKA partnerships
29:03 MUTUAL FUNDS
30:17 Open end versus closed end
31:38 Open end versus ETF
32:18 Variable annuities
32:50 Systematic risk versus unsystematic risk
33:45 TRADING
33:48 Types of orders and time qualifiers
36:15 Cash dividends versus stock dividends
37:06 Types of settlements
37:34 Types of accounts. Cash accounts and margin accounts. UGMA/UTMA
40:30 Retirement accounts
41:24 Prohibited activities
43:40 Record retention. Most are 3 years
44:25 Regulatory framework
45:12 SIPC
45:52 Insider Trading Act of 1988
46:03 Cold calling
46:24 AML
47:23 State administrator. Blue sky. Uniform Securities Act
48:44 Percentages
50:14 Business and calendar days
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABAL...
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABALIER - MTV UNPLUGGED (Extended Version) ++
https://umg.lnk.to/AndreasGabalier_Unplugged
+++Folgt Andreas Gabalier im Netz+++
►Webseite: https://www.andreas-gabalier.at
►Facebook: https://www.facebook.com/AndreasGabalier
#AndreasGabalier #MTVUnplugged
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABALIER - MTV UNPLUGGED (Extended Version) ++
https://umg.lnk.to/AndreasGabalier_Unplugged
+++Folgt Andreas Gabalier im Netz+++
►Webseite: https://www.andreas-gabalier.at
►Facebook: https://www.facebook.com/AndreasGabalier
#AndreasGabalier #MTVUnplugged
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your...
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your next session with "Series 7 Whisperer" Ken Finnen or follow him across his socials to find more content to help pass your next exam.
https://CapAdvantageTutoring.com/
Twitter: @wallsttutor
Instagram: @Series7Whisperer
TikTok: Blue Collar Finance @finster1967
Facebook: FINRA Exam Prep
#Series7exam #SIEexam #FINRA #CapitalAdvantageTutoring #Series7Whisperer #lastminutereview #quickanddirty
Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage
If you are looking for a Series 7 top off tutor please visit
https://www.series7exam.org
Or check out Michael Weiss ( great tutor )
https://www.series7examtutor.com
For a 15% discount on STC materials
https://www.stcusa.com/referral/capitaladvantage/
Hey everyone! Are you looking for help prepping for the Securities Industry Essentials or SIE exam? Look no further! In this video, I'm going to break down the key concepts you need to know for the SIE exam, answer some commonly asked questions, and provide some tips to get ready.
Let's start with the basics. The SIE exam is an introductory-level FINRA qualification exam. It covers four main topics: securities industry overview, stocks, bonds, and taxation. It's important to know the terminology related to these topics and be familiar with the concepts.
Next, let's cover some common questions about the SIE exam. The exam format consists of 75 multiple-choice questions of which five are practice questions. To pass the exam, you must answer at least 70 out of the 75 questions correctly. You can schedule the exam through Prometric or through your broker-dealer.
Try Kindle Unlimited for free ( 30 days)
https://amzn.to/3zRo9hA
Join this channel to get access to perks:
https://www.youtube.com/channel/UCBD1Olrt3__F_-sjOeJNb4Q/join
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Series 6 questions-- https://amzn.to/2ToH01j
Series 6 book by Wiley -- https://amzn.to/2wpInn9
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w#series7exam
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your next session with "Series 7 Whisperer" Ken Finnen or follow him across his socials to find more content to help pass your next exam.
https://CapAdvantageTutoring.com/
Twitter: @wallsttutor
Instagram: @Series7Whisperer
TikTok: Blue Collar Finance @finster1967
Facebook: FINRA Exam Prep
#Series7exam #SIEexam #FINRA #CapitalAdvantageTutoring #Series7Whisperer #lastminutereview #quickanddirty
Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage
If you are looking for a Series 7 top off tutor please visit
https://www.series7exam.org
Or check out Michael Weiss ( great tutor )
https://www.series7examtutor.com
For a 15% discount on STC materials
https://www.stcusa.com/referral/capitaladvantage/
Hey everyone! Are you looking for help prepping for the Securities Industry Essentials or SIE exam? Look no further! In this video, I'm going to break down the key concepts you need to know for the SIE exam, answer some commonly asked questions, and provide some tips to get ready.
Let's start with the basics. The SIE exam is an introductory-level FINRA qualification exam. It covers four main topics: securities industry overview, stocks, bonds, and taxation. It's important to know the terminology related to these topics and be familiar with the concepts.
Next, let's cover some common questions about the SIE exam. The exam format consists of 75 multiple-choice questions of which five are practice questions. To pass the exam, you must answer at least 70 out of the 75 questions correctly. You can schedule the exam through Prometric or through your broker-dealer.
Try Kindle Unlimited for free ( 30 days)
https://amzn.to/3zRo9hA
Join this channel to get access to perks:
https://www.youtube.com/channel/UCBD1Olrt3__F_-sjOeJNb4Q/join
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Series 6 questions-- https://amzn.to/2ToH01j
Series 6 book by Wiley -- https://amzn.to/2wpInn9
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w#series7exam
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on...
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on your first try.
Link to my course- The CFA Study Blueprint:
https://aj-srmek-s-school.teachable.com/p/the-cfa-study-blueprint
If you have an idea of something you want me to cover in depth, please let me know because I take your requests seriously. Will be back with more CFA Exam tips in a couple of weeks so please submit more questions you would like to hear answered. Love you all!
- AJ
Please SUBSCRIBE for new videos every week! ▶ https://www.youtube.com/channel/UCF8oQ_rYiZ4xu5HHagy30Tg
Let’s connect:
Twitter: https://twitter.com/asrmek
LinkedIn: https://www.linkedin.com/in/aj-srmek-cfa%C2%AE-cfp%C2%AE-12a95492/
Patreon: https://www.patreon.com/StraightTalks
TikTok: https://www.tiktok.com/@straighttalksyt?lang=en
Contact Email: [email protected]
*** The information in this video is not intended or implied to be a substitute for professional financial advice. All content, including text, graphics, images, and information, contained in this video is for general information purposes only and does not replace a consultation with your financial or tax professional***
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on your first try.
Link to my course- The CFA Study Blueprint:
https://aj-srmek-s-school.teachable.com/p/the-cfa-study-blueprint
If you have an idea of something you want me to cover in depth, please let me know because I take your requests seriously. Will be back with more CFA Exam tips in a couple of weeks so please submit more questions you would like to hear answered. Love you all!
- AJ
Please SUBSCRIBE for new videos every week! ▶ https://www.youtube.com/channel/UCF8oQ_rYiZ4xu5HHagy30Tg
Let’s connect:
Twitter: https://twitter.com/asrmek
LinkedIn: https://www.linkedin.com/in/aj-srmek-cfa%C2%AE-cfp%C2%AE-12a95492/
Patreon: https://www.patreon.com/StraightTalks
TikTok: https://www.tiktok.com/@straighttalksyt?lang=en
Contact Email: [email protected]
*** The information in this video is not intended or implied to be a substitute for professional financial advice. All content, including text, graphics, images, and information, contained in this video is for general information purposes only and does not replace a consultation with your financial or tax professional***
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in...
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Current yield
26:40 3 stages of money laundering. Placement. layering, and integration.
27:46 Backing away
28:32 Suspicious Activity Report (SAR)
29:05 Uniform Transfer to Minors Act (UTMA)
30:25 Step up in cost base to heirs
31:37 Discount bond
32:46 Foreign currency risk
34:46 Joint Tenants in Common (JTIC)
35:12 Between $2,000 and $4,000 customer must put up $2,000 in new margin account
35:45 Stock split NOT TAXABLE. Cash dividends are TAXABLE.
37:24 Maximum gift or gratuity employee of one member firm can give to employee of another member firm is $100
39:13 GNMA
40:24 Common stock junior in liquidation
41:22 Use of a stop order
43:00 Six calendar quarters of declining GDP is a depression
44:39 Warrants are long term and exercisable below current market price at issuance
45:57 Bonds less than BBB are less than investment grade
46:36 Protective put and long stock position
48:52 Bond at a premium
50:29 Forward pricing of open end mutual fund shares
51:31 Class A shares
52:12 Regular way settlement
53:12 Naked or uncovered call has UNLIMITED RISK!!!!
53:58 Letter of Intent (LOI)
55:05 Market maker definition
55:34 Cooling off period is a minimum of 20 days
55:57 Securities Investor Protection Corporation (SIPC)
56:43 Cumulative voting
58:38 Roth IRA
58:56 Principal approval of sales literature pre distribution
59:16 Anti Money Laundering (AML)
59:50 Monthly statements for penny stocks
1:00:41 Qualified Institutional Buyer (QIB) 144A
1:01:28 $250 campaign contribution if you can vote for elected official
1:02:00 Patriot Act
1:02:22 Fed funds rate
1:03:46 Secured bonds senior in liquidation
1:04:24 Spread
1:04:41 Tools of the Fed
1:05:58 Chapter 11 bankruptcy
1:06:17 Definition of accredited investor under Reg D
1:07:58 Stock dividend
1:09:05 Securities Act of 1933
1:10:23 Closing sale is used to eliminate or reduce or offset a long position
1:12:21 Treasury stock
1:13:36 Call risk
1:14:16 Reverse split
1:16:03 Market maker's quote and size of the market maker's quote
1:17:26 Pre refunded or refunded bond
1:18:47 Transfer agent
1:19:08 Freeride and resulting freeze of credit for 90 days
1:19:45 Tender offer accept or reject 20 days
1:20:30 Rights are short term and exercisable below CMP
1:21:47 Accrued interest
1:22:34 Amendments to U 4 must be done within 30 days
1:23:49 Bank Secrecy Act
1:24:00 IRA rollover 60 days
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Current yield
26:40 3 stages of money laundering. Placement. layering, and integration.
27:46 Backing away
28:32 Suspicious Activity Report (SAR)
29:05 Uniform Transfer to Minors Act (UTMA)
30:25 Step up in cost base to heirs
31:37 Discount bond
32:46 Foreign currency risk
34:46 Joint Tenants in Common (JTIC)
35:12 Between $2,000 and $4,000 customer must put up $2,000 in new margin account
35:45 Stock split NOT TAXABLE. Cash dividends are TAXABLE.
37:24 Maximum gift or gratuity employee of one member firm can give to employee of another member firm is $100
39:13 GNMA
40:24 Common stock junior in liquidation
41:22 Use of a stop order
43:00 Six calendar quarters of declining GDP is a depression
44:39 Warrants are long term and exercisable below current market price at issuance
45:57 Bonds less than BBB are less than investment grade
46:36 Protective put and long stock position
48:52 Bond at a premium
50:29 Forward pricing of open end mutual fund shares
51:31 Class A shares
52:12 Regular way settlement
53:12 Naked or uncovered call has UNLIMITED RISK!!!!
53:58 Letter of Intent (LOI)
55:05 Market maker definition
55:34 Cooling off period is a minimum of 20 days
55:57 Securities Investor Protection Corporation (SIPC)
56:43 Cumulative voting
58:38 Roth IRA
58:56 Principal approval of sales literature pre distribution
59:16 Anti Money Laundering (AML)
59:50 Monthly statements for penny stocks
1:00:41 Qualified Institutional Buyer (QIB) 144A
1:01:28 $250 campaign contribution if you can vote for elected official
1:02:00 Patriot Act
1:02:22 Fed funds rate
1:03:46 Secured bonds senior in liquidation
1:04:24 Spread
1:04:41 Tools of the Fed
1:05:58 Chapter 11 bankruptcy
1:06:17 Definition of accredited investor under Reg D
1:07:58 Stock dividend
1:09:05 Securities Act of 1933
1:10:23 Closing sale is used to eliminate or reduce or offset a long position
1:12:21 Treasury stock
1:13:36 Call risk
1:14:16 Reverse split
1:16:03 Market maker's quote and size of the market maker's quote
1:17:26 Pre refunded or refunded bond
1:18:47 Transfer agent
1:19:08 Freeride and resulting freeze of credit for 90 days
1:19:45 Tender offer accept or reject 20 days
1:20:30 Rights are short term and exercisable below CMP
1:21:47 Accrued interest
1:22:34 Amendments to U 4 must be done within 30 days
1:23:49 Bank Secrecy Act
1:24:00 IRA rollover 60 days
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it c...
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it covers and how you can pass it.
The FINRA SIE is essential for anyone looking to work in finance. Passing this certification will show employers that you have the skills and knowledge necessary to succeed in the industry.
Achievable is a modern FINRA SIE course written by experts with 20+ years in the finance industry. Achievable uses technology to guarantee that you pass the first time. Try our FINRA SIE course for free to see if our style is right for you: https://achievable.me/?utm_source=basic-wisdom
0:00 Introduction
0:39 Why you should take the FINRA SIE
1:05 What is FINRA & the FINRA SIE exam?
1:35 Eligibility, structure, and pass rate
2:55 Official content outline of the FINRA SIE
7:25 Achievable's FINRA SIE content outline
12:46 FINRA SIE study tips
14:23 How to pass the FINRA SIE on your first try
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it covers and how you can pass it.
The FINRA SIE is essential for anyone looking to work in finance. Passing this certification will show employers that you have the skills and knowledge necessary to succeed in the industry.
Achievable is a modern FINRA SIE course written by experts with 20+ years in the finance industry. Achievable uses technology to guarantee that you pass the first time. Try our FINRA SIE course for free to see if our style is right for you: https://achievable.me/?utm_source=basic-wisdom
0:00 Introduction
0:39 Why you should take the FINRA SIE
1:05 What is FINRA & the FINRA SIE exam?
1:35 Eligibility, structure, and pass rate
2:55 Official content outline of the FINRA SIE
7:25 Achievable's FINRA SIE content outline
12:46 FINRA SIE study tips
14:23 How to pass the FINRA SIE on your first try
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvanta...
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvantage/
www.capadvantagetutoring.com
also some budget-friendly help on the SIE
https://achievable.me/?utm_source=capital-advantage
also kindle unlimited has some free resources for members
https://amzn.to/2QiIUPd
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the movie ha-ha
https://amzn.to/34A7rnm
0:00 Intro
0:30 Regulators
4:20 FINRA Rules
5:00 Acts
6:55 SIPC
9:05 Penny Stock
11:20 Code of Procedure
11:33 Arbitration
12:07 MSRB
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvantage/
www.capadvantagetutoring.com
also some budget-friendly help on the SIE
https://achievable.me/?utm_source=capital-advantage
also kindle unlimited has some free resources for members
https://amzn.to/2QiIUPd
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the movie ha-ha
https://amzn.to/34A7rnm
0:00 Intro
0:30 Regulators
4:20 FINRA Rules
5:00 Acts
6:55 SIPC
9:05 Penny Stock
11:20 Code of Procedure
11:33 Arbitration
12:07 MSRB
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:0...
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:00 Intro
6:47 RTFQ!!! Read The Full Question
7:29 RTFA!! Read The Full Answer Set
10:21 Read the last sentence first
11:06 Project the correct answer
12:33 Process of elimination
20:13 Sesame Street. One of these things is not like the other
21:52 T or F next to answer
23:05 Too long to be wrong
24:10 Guess "B" and move on
26:12 1,2,3 to remember accredited investors
27:50 Customer buy high and sell low
Know your bid from your ask https://youtu.be/0OD_-Q4LyRU
29:36 ABC for Agent Broker Commission or Advice Business Compnsation
31:19 Three As. Action, Asset, Amount NOT time and price
32:51 Splits more shares at a lower price or less shares at a higher price
34:07 Govies are Goofy......
35:43 '33 Act is paper/prospectus and '34 Act is people/places
36:30 Primary versus Secondary
37:42 144 to remember 144
38:56 DATO 15 for option account sequence
40:20 Other People Monies Count to remember order flow of a clearing firm
42:40 DERP to remember chronological order of dividend process
44:03 DIE 90 for flow though of mutual funds and REITs
444:56 Teeter Totter or See Saw Bonds and interest rates https://youtu.be/RJxlCMQPM4M
47:15 SLoBS over BLiSS https://youtu.be/yTcgNVKtzec
Options https://youtu.be/VkZPeOZEEcY
48:33 CALL UP or PUT DOWN to remember breakevens and intrinsic value
51:22 Option Matrix
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:00 Intro
6:47 RTFQ!!! Read The Full Question
7:29 RTFA!! Read The Full Answer Set
10:21 Read the last sentence first
11:06 Project the correct answer
12:33 Process of elimination
20:13 Sesame Street. One of these things is not like the other
21:52 T or F next to answer
23:05 Too long to be wrong
24:10 Guess "B" and move on
26:12 1,2,3 to remember accredited investors
27:50 Customer buy high and sell low
Know your bid from your ask https://youtu.be/0OD_-Q4LyRU
29:36 ABC for Agent Broker Commission or Advice Business Compnsation
31:19 Three As. Action, Asset, Amount NOT time and price
32:51 Splits more shares at a lower price or less shares at a higher price
34:07 Govies are Goofy......
35:43 '33 Act is paper/prospectus and '34 Act is people/places
36:30 Primary versus Secondary
37:42 144 to remember 144
38:56 DATO 15 for option account sequence
40:20 Other People Monies Count to remember order flow of a clearing firm
42:40 DERP to remember chronological order of dividend process
44:03 DIE 90 for flow though of mutual funds and REITs
444:56 Teeter Totter or See Saw Bonds and interest rates https://youtu.be/RJxlCMQPM4M
47:15 SLoBS over BLiSS https://youtu.be/yTcgNVKtzec
Options https://youtu.be/VkZPeOZEEcY
48:33 CALL UP or PUT DOWN to remember breakevens and intrinsic value
51:22 Option Matrix
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in l...
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm commitment underwritings
21:42 Options
24:40 Opening and closing transactions
27:05 Uncovered call versus covered call
27:38 American style versus European style exercise
28:14 Option Clearing Corporation Disclosure Document
29:19 Open end funds versus closed end funds
30:03 UITs
30:28 Variable annuities
32:13 12b-1 fees
33:29 NAV
34:09 Breakpoints. GOOD!
34:50 Letter of Intent
34:29 Breakpoint Sale. BAD!
30:36 529s
37:24 ABLE accounts
38:48 Direct Participation Programs (DPPs). Partnerships.
39:42 REITs
41:29 ETFs
42:09 ETNs
43:40 Credit risk
43:57 Currency risk
44:13 Inflationary risk
44:44 Interest rate risk
45:05 Liquidity risk
45:20 Systematic or market risk
45:50 Non systematic risk or selection risk
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm commitment underwritings
21:42 Options
24:40 Opening and closing transactions
27:05 Uncovered call versus covered call
27:38 American style versus European style exercise
28:14 Option Clearing Corporation Disclosure Document
29:19 Open end funds versus closed end funds
30:03 UITs
30:28 Variable annuities
32:13 12b-1 fees
33:29 NAV
34:09 Breakpoints. GOOD!
34:50 Letter of Intent
34:29 Breakpoint Sale. BAD!
30:36 529s
37:24 ABLE accounts
38:48 Direct Participation Programs (DPPs). Partnerships.
39:42 REITs
41:29 ETFs
42:09 ETNs
43:40 Credit risk
43:57 Currency risk
44:13 Inflationary risk
44:44 Interest rate risk
45:05 Liquidity risk
45:20 Systematic or market risk
45:50 Non systematic risk or selection risk
SIE Exam Tomorrow? This Afternoon? Pass? Fail? This 60 Minutes May Be The Difference!
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 c...
published: 08 Sep 2022
Andreas Gabalier - Sie [Live From MTV Unplugged, Wien / 2016] ft. Max Giesinger
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABALIER - MTV UNPLUGGED (Extended Version) ++
https://umg.lnk.to/AndreasGabalier_Unplugged
+++Folgt Andreas Gabalier im Netz+++
►Webseite: https://www.andreas-gabalier.at
►Facebook: https://www.facebook.com/AndreasGabalier
#AndreasGabalier #MTVUnplugged
published: 19 Oct 2017
SIE Exam: The best tips for passing the exam (Quick and Dirty Review ) 2023
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your next session with "Series 7 Whisperer" Ken Finnen or follow him across his socials to find more content to help pass your next exam.
https://CapAdvantageTutoring.com/
Twitter: @wallsttutor
Instagram: @Series7Whisperer
TikTok: Blue Collar Finance @finster1967
Facebook: FINRA Exam Prep
#Series7exam #SIEexam #FINRA #CapitalAdvantageTutoring #Series7Whisperer #lastminutereview #quickanddirty
Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage
If you are looking for a Series 7 top off tutor please visit
https://www.series7exam.org
Or check out Michael Weiss ( great tutor )
https://www.series7ex...
published: 04 Jan 2023
How to Pass the SIE Exam on Your First Try
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on your first try.
Link to my course- The CFA Study Blueprint:
https://aj-srmek-s-school.teachable.com/p/the-cfa-study-blueprint
If you have an idea of something you want me to cover in depth, please let me know because I take your requests seriously. Will be back with more CFA Exam tips in a couple of weeks so please submit more questions you would like to hear answered. Love you all!
- AJ
Please SUBSCRIBE for new videos every week! ▶ https://www.youtube.com/channel/UCF8oQ_rYiZ4xu5HHagy30Tg
Let’s connect:
Twitter: https://twitter.com/asrmek
LinkedIn: https://www.linkedin.com/in/aj-srmek-cfa%C2%AE-cfp%C2%AE-12a95492/
Patreon:...
published: 03 Mar 2023
SIE Exam FREE Practice Test 1 EXPLICATED. Hit pause, answer, hit play to reveal answer.
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Cu...
published: 31 Oct 2021
Everything you need to know about the FINRA SIE exam (overview video)
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it covers and how you can pass it.
The FINRA SIE is essential for anyone looking to work in finance. Passing this certification will show employers that you have the skills and knowledge necessary to succeed in the industry.
Achievable is a modern FINRA SIE course written by experts with 20+ years in the finance industry. Achievable uses technology to guarantee that you pass the first time. Try our FINRA SIE course for free to see if our style is right for you: https://achievable.me/?utm_source=basic-wisdom
0:00 Introduction
0:39 Why you should take the FINRA SIE
1:05 What is FINRA & the FINRA SIE exam?
1:35 Eligibility, structure,...
published: 19 Oct 2022
SIE Exam Prep: Part 3 (Regulations) #sieexam
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvantage/
www.capadvantagetutoring.com
also some budget-friendly help on the SIE
https://achievable.me/?utm_source=capital-advantage
also kindle unlimited has some free resources for members
https://amzn.to/2QiIUPd
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the...
SIE Exam Prep - Test Taking Tips, Tricks, and Memory Aids
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:00 Intro
6:47 RTFQ!!! Read The Full Question
7:29 RTFA!! Read The Full Answer Set
10:21 Read the last sentence first
11:06 Project the correct answer
12:33 Process of elimination
20:13 Sesame Street. One of these things is not like the other
21:52 T or F next to answer
23:05 Too long to be wrong
24:10 Guess "B" and move on
26:12 1,2,3 to remember accredited investors
27:50 Customer buy high and sell low
Know your bid from your ask https://youtu.be/0OD_-Q4LyRU
29:36 ABC for Agent Broker Commission or Advice Business Compnsation
31:19 Three As. Action, Asset, Amount NOT time and price
32:51 Splits more shares at a lower price or le...
published: 28 Oct 2022
SIE Exam Prep Investment Risks 33 Questions!!! EXPLICATED
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm...
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus ...
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 calendar quarters of declining GDP. Correction of verbal errata.
10:23 Monetary policy
10:31 Fiscal policy
10:40 Demand side versus supply side
11:46 Fed funds rate, discount rate. prime rate, broker call
12:20 SECURITIES
12:25 EQUITIES
12:43 Common stock
13:03 Preferred stock
13:34 Rights versus warrants
14:27 REITs
14:50 DEBT SECUITIES
15:30 Call risk
16:07 Convertible bonds
16:43 Inverse relationship of interest rates and bond prices
18:18 Secured bonds issued by corporations
18:39 Unsecured bonds issued by corporations
19:09 Liquidation priority
19:30 Zero coupon or original issue discount bonds
20:26 US Government securities
20:54 Money market securities
22:36 GNMA
22:51 Municipal bonds
22:53 General obligation versus Revenue
24:04 OPTIONS
27:32 DPPs AKA partnerships
29:03 MUTUAL FUNDS
30:17 Open end versus closed end
31:38 Open end versus ETF
32:18 Variable annuities
32:50 Systematic risk versus unsystematic risk
33:45 TRADING
33:48 Types of orders and time qualifiers
36:15 Cash dividends versus stock dividends
37:06 Types of settlements
37:34 Types of accounts. Cash accounts and margin accounts. UGMA/UTMA
40:30 Retirement accounts
41:24 Prohibited activities
43:40 Record retention. Most are 3 years
44:25 Regulatory framework
45:12 SIPC
45:52 Insider Trading Act of 1988
46:03 Cold calling
46:24 AML
47:23 State administrator. Blue sky. Uniform Securities Act
48:44 Percentages
50:14 Business and calendar days
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 calendar quarters of declining GDP. Correction of verbal errata.
10:23 Monetary policy
10:31 Fiscal policy
10:40 Demand side versus supply side
11:46 Fed funds rate, discount rate. prime rate, broker call
12:20 SECURITIES
12:25 EQUITIES
12:43 Common stock
13:03 Preferred stock
13:34 Rights versus warrants
14:27 REITs
14:50 DEBT SECUITIES
15:30 Call risk
16:07 Convertible bonds
16:43 Inverse relationship of interest rates and bond prices
18:18 Secured bonds issued by corporations
18:39 Unsecured bonds issued by corporations
19:09 Liquidation priority
19:30 Zero coupon or original issue discount bonds
20:26 US Government securities
20:54 Money market securities
22:36 GNMA
22:51 Municipal bonds
22:53 General obligation versus Revenue
24:04 OPTIONS
27:32 DPPs AKA partnerships
29:03 MUTUAL FUNDS
30:17 Open end versus closed end
31:38 Open end versus ETF
32:18 Variable annuities
32:50 Systematic risk versus unsystematic risk
33:45 TRADING
33:48 Types of orders and time qualifiers
36:15 Cash dividends versus stock dividends
37:06 Types of settlements
37:34 Types of accounts. Cash accounts and margin accounts. UGMA/UTMA
40:30 Retirement accounts
41:24 Prohibited activities
43:40 Record retention. Most are 3 years
44:25 Regulatory framework
45:12 SIPC
45:52 Insider Trading Act of 1988
46:03 Cold calling
46:24 AML
47:23 State administrator. Blue sky. Uniform Securities Act
48:44 Percentages
50:14 Business and calendar days
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABAL...
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABALIER - MTV UNPLUGGED (Extended Version) ++
https://umg.lnk.to/AndreasGabalier_Unplugged
+++Folgt Andreas Gabalier im Netz+++
►Webseite: https://www.andreas-gabalier.at
►Facebook: https://www.facebook.com/AndreasGabalier
#AndreasGabalier #MTVUnplugged
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABALIER - MTV UNPLUGGED (Extended Version) ++
https://umg.lnk.to/AndreasGabalier_Unplugged
+++Folgt Andreas Gabalier im Netz+++
►Webseite: https://www.andreas-gabalier.at
►Facebook: https://www.facebook.com/AndreasGabalier
#AndreasGabalier #MTVUnplugged
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your...
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your next session with "Series 7 Whisperer" Ken Finnen or follow him across his socials to find more content to help pass your next exam.
https://CapAdvantageTutoring.com/
Twitter: @wallsttutor
Instagram: @Series7Whisperer
TikTok: Blue Collar Finance @finster1967
Facebook: FINRA Exam Prep
#Series7exam #SIEexam #FINRA #CapitalAdvantageTutoring #Series7Whisperer #lastminutereview #quickanddirty
Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage
If you are looking for a Series 7 top off tutor please visit
https://www.series7exam.org
Or check out Michael Weiss ( great tutor )
https://www.series7examtutor.com
For a 15% discount on STC materials
https://www.stcusa.com/referral/capitaladvantage/
Hey everyone! Are you looking for help prepping for the Securities Industry Essentials or SIE exam? Look no further! In this video, I'm going to break down the key concepts you need to know for the SIE exam, answer some commonly asked questions, and provide some tips to get ready.
Let's start with the basics. The SIE exam is an introductory-level FINRA qualification exam. It covers four main topics: securities industry overview, stocks, bonds, and taxation. It's important to know the terminology related to these topics and be familiar with the concepts.
Next, let's cover some common questions about the SIE exam. The exam format consists of 75 multiple-choice questions of which five are practice questions. To pass the exam, you must answer at least 70 out of the 75 questions correctly. You can schedule the exam through Prometric or through your broker-dealer.
Try Kindle Unlimited for free ( 30 days)
https://amzn.to/3zRo9hA
Join this channel to get access to perks:
https://www.youtube.com/channel/UCBD1Olrt3__F_-sjOeJNb4Q/join
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Series 6 questions-- https://amzn.to/2ToH01j
Series 6 book by Wiley -- https://amzn.to/2wpInn9
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w#series7exam
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your next session with "Series 7 Whisperer" Ken Finnen or follow him across his socials to find more content to help pass your next exam.
https://CapAdvantageTutoring.com/
Twitter: @wallsttutor
Instagram: @Series7Whisperer
TikTok: Blue Collar Finance @finster1967
Facebook: FINRA Exam Prep
#Series7exam #SIEexam #FINRA #CapitalAdvantageTutoring #Series7Whisperer #lastminutereview #quickanddirty
Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage
If you are looking for a Series 7 top off tutor please visit
https://www.series7exam.org
Or check out Michael Weiss ( great tutor )
https://www.series7examtutor.com
For a 15% discount on STC materials
https://www.stcusa.com/referral/capitaladvantage/
Hey everyone! Are you looking for help prepping for the Securities Industry Essentials or SIE exam? Look no further! In this video, I'm going to break down the key concepts you need to know for the SIE exam, answer some commonly asked questions, and provide some tips to get ready.
Let's start with the basics. The SIE exam is an introductory-level FINRA qualification exam. It covers four main topics: securities industry overview, stocks, bonds, and taxation. It's important to know the terminology related to these topics and be familiar with the concepts.
Next, let's cover some common questions about the SIE exam. The exam format consists of 75 multiple-choice questions of which five are practice questions. To pass the exam, you must answer at least 70 out of the 75 questions correctly. You can schedule the exam through Prometric or through your broker-dealer.
Try Kindle Unlimited for free ( 30 days)
https://amzn.to/3zRo9hA
Join this channel to get access to perks:
https://www.youtube.com/channel/UCBD1Olrt3__F_-sjOeJNb4Q/join
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Series 6 questions-- https://amzn.to/2ToH01j
Series 6 book by Wiley -- https://amzn.to/2wpInn9
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w#series7exam
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on...
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on your first try.
Link to my course- The CFA Study Blueprint:
https://aj-srmek-s-school.teachable.com/p/the-cfa-study-blueprint
If you have an idea of something you want me to cover in depth, please let me know because I take your requests seriously. Will be back with more CFA Exam tips in a couple of weeks so please submit more questions you would like to hear answered. Love you all!
- AJ
Please SUBSCRIBE for new videos every week! ▶ https://www.youtube.com/channel/UCF8oQ_rYiZ4xu5HHagy30Tg
Let’s connect:
Twitter: https://twitter.com/asrmek
LinkedIn: https://www.linkedin.com/in/aj-srmek-cfa%C2%AE-cfp%C2%AE-12a95492/
Patreon: https://www.patreon.com/StraightTalks
TikTok: https://www.tiktok.com/@straighttalksyt?lang=en
Contact Email: [email protected]
*** The information in this video is not intended or implied to be a substitute for professional financial advice. All content, including text, graphics, images, and information, contained in this video is for general information purposes only and does not replace a consultation with your financial or tax professional***
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on your first try.
Link to my course- The CFA Study Blueprint:
https://aj-srmek-s-school.teachable.com/p/the-cfa-study-blueprint
If you have an idea of something you want me to cover in depth, please let me know because I take your requests seriously. Will be back with more CFA Exam tips in a couple of weeks so please submit more questions you would like to hear answered. Love you all!
- AJ
Please SUBSCRIBE for new videos every week! ▶ https://www.youtube.com/channel/UCF8oQ_rYiZ4xu5HHagy30Tg
Let’s connect:
Twitter: https://twitter.com/asrmek
LinkedIn: https://www.linkedin.com/in/aj-srmek-cfa%C2%AE-cfp%C2%AE-12a95492/
Patreon: https://www.patreon.com/StraightTalks
TikTok: https://www.tiktok.com/@straighttalksyt?lang=en
Contact Email: [email protected]
*** The information in this video is not intended or implied to be a substitute for professional financial advice. All content, including text, graphics, images, and information, contained in this video is for general information purposes only and does not replace a consultation with your financial or tax professional***
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in...
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Current yield
26:40 3 stages of money laundering. Placement. layering, and integration.
27:46 Backing away
28:32 Suspicious Activity Report (SAR)
29:05 Uniform Transfer to Minors Act (UTMA)
30:25 Step up in cost base to heirs
31:37 Discount bond
32:46 Foreign currency risk
34:46 Joint Tenants in Common (JTIC)
35:12 Between $2,000 and $4,000 customer must put up $2,000 in new margin account
35:45 Stock split NOT TAXABLE. Cash dividends are TAXABLE.
37:24 Maximum gift or gratuity employee of one member firm can give to employee of another member firm is $100
39:13 GNMA
40:24 Common stock junior in liquidation
41:22 Use of a stop order
43:00 Six calendar quarters of declining GDP is a depression
44:39 Warrants are long term and exercisable below current market price at issuance
45:57 Bonds less than BBB are less than investment grade
46:36 Protective put and long stock position
48:52 Bond at a premium
50:29 Forward pricing of open end mutual fund shares
51:31 Class A shares
52:12 Regular way settlement
53:12 Naked or uncovered call has UNLIMITED RISK!!!!
53:58 Letter of Intent (LOI)
55:05 Market maker definition
55:34 Cooling off period is a minimum of 20 days
55:57 Securities Investor Protection Corporation (SIPC)
56:43 Cumulative voting
58:38 Roth IRA
58:56 Principal approval of sales literature pre distribution
59:16 Anti Money Laundering (AML)
59:50 Monthly statements for penny stocks
1:00:41 Qualified Institutional Buyer (QIB) 144A
1:01:28 $250 campaign contribution if you can vote for elected official
1:02:00 Patriot Act
1:02:22 Fed funds rate
1:03:46 Secured bonds senior in liquidation
1:04:24 Spread
1:04:41 Tools of the Fed
1:05:58 Chapter 11 bankruptcy
1:06:17 Definition of accredited investor under Reg D
1:07:58 Stock dividend
1:09:05 Securities Act of 1933
1:10:23 Closing sale is used to eliminate or reduce or offset a long position
1:12:21 Treasury stock
1:13:36 Call risk
1:14:16 Reverse split
1:16:03 Market maker's quote and size of the market maker's quote
1:17:26 Pre refunded or refunded bond
1:18:47 Transfer agent
1:19:08 Freeride and resulting freeze of credit for 90 days
1:19:45 Tender offer accept or reject 20 days
1:20:30 Rights are short term and exercisable below CMP
1:21:47 Accrued interest
1:22:34 Amendments to U 4 must be done within 30 days
1:23:49 Bank Secrecy Act
1:24:00 IRA rollover 60 days
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Current yield
26:40 3 stages of money laundering. Placement. layering, and integration.
27:46 Backing away
28:32 Suspicious Activity Report (SAR)
29:05 Uniform Transfer to Minors Act (UTMA)
30:25 Step up in cost base to heirs
31:37 Discount bond
32:46 Foreign currency risk
34:46 Joint Tenants in Common (JTIC)
35:12 Between $2,000 and $4,000 customer must put up $2,000 in new margin account
35:45 Stock split NOT TAXABLE. Cash dividends are TAXABLE.
37:24 Maximum gift or gratuity employee of one member firm can give to employee of another member firm is $100
39:13 GNMA
40:24 Common stock junior in liquidation
41:22 Use of a stop order
43:00 Six calendar quarters of declining GDP is a depression
44:39 Warrants are long term and exercisable below current market price at issuance
45:57 Bonds less than BBB are less than investment grade
46:36 Protective put and long stock position
48:52 Bond at a premium
50:29 Forward pricing of open end mutual fund shares
51:31 Class A shares
52:12 Regular way settlement
53:12 Naked or uncovered call has UNLIMITED RISK!!!!
53:58 Letter of Intent (LOI)
55:05 Market maker definition
55:34 Cooling off period is a minimum of 20 days
55:57 Securities Investor Protection Corporation (SIPC)
56:43 Cumulative voting
58:38 Roth IRA
58:56 Principal approval of sales literature pre distribution
59:16 Anti Money Laundering (AML)
59:50 Monthly statements for penny stocks
1:00:41 Qualified Institutional Buyer (QIB) 144A
1:01:28 $250 campaign contribution if you can vote for elected official
1:02:00 Patriot Act
1:02:22 Fed funds rate
1:03:46 Secured bonds senior in liquidation
1:04:24 Spread
1:04:41 Tools of the Fed
1:05:58 Chapter 11 bankruptcy
1:06:17 Definition of accredited investor under Reg D
1:07:58 Stock dividend
1:09:05 Securities Act of 1933
1:10:23 Closing sale is used to eliminate or reduce or offset a long position
1:12:21 Treasury stock
1:13:36 Call risk
1:14:16 Reverse split
1:16:03 Market maker's quote and size of the market maker's quote
1:17:26 Pre refunded or refunded bond
1:18:47 Transfer agent
1:19:08 Freeride and resulting freeze of credit for 90 days
1:19:45 Tender offer accept or reject 20 days
1:20:30 Rights are short term and exercisable below CMP
1:21:47 Accrued interest
1:22:34 Amendments to U 4 must be done within 30 days
1:23:49 Bank Secrecy Act
1:24:00 IRA rollover 60 days
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it c...
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it covers and how you can pass it.
The FINRA SIE is essential for anyone looking to work in finance. Passing this certification will show employers that you have the skills and knowledge necessary to succeed in the industry.
Achievable is a modern FINRA SIE course written by experts with 20+ years in the finance industry. Achievable uses technology to guarantee that you pass the first time. Try our FINRA SIE course for free to see if our style is right for you: https://achievable.me/?utm_source=basic-wisdom
0:00 Introduction
0:39 Why you should take the FINRA SIE
1:05 What is FINRA & the FINRA SIE exam?
1:35 Eligibility, structure, and pass rate
2:55 Official content outline of the FINRA SIE
7:25 Achievable's FINRA SIE content outline
12:46 FINRA SIE study tips
14:23 How to pass the FINRA SIE on your first try
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it covers and how you can pass it.
The FINRA SIE is essential for anyone looking to work in finance. Passing this certification will show employers that you have the skills and knowledge necessary to succeed in the industry.
Achievable is a modern FINRA SIE course written by experts with 20+ years in the finance industry. Achievable uses technology to guarantee that you pass the first time. Try our FINRA SIE course for free to see if our style is right for you: https://achievable.me/?utm_source=basic-wisdom
0:00 Introduction
0:39 Why you should take the FINRA SIE
1:05 What is FINRA & the FINRA SIE exam?
1:35 Eligibility, structure, and pass rate
2:55 Official content outline of the FINRA SIE
7:25 Achievable's FINRA SIE content outline
12:46 FINRA SIE study tips
14:23 How to pass the FINRA SIE on your first try
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvanta...
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvantage/
www.capadvantagetutoring.com
also some budget-friendly help on the SIE
https://achievable.me/?utm_source=capital-advantage
also kindle unlimited has some free resources for members
https://amzn.to/2QiIUPd
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the movie ha-ha
https://amzn.to/34A7rnm
0:00 Intro
0:30 Regulators
4:20 FINRA Rules
5:00 Acts
6:55 SIPC
9:05 Penny Stock
11:20 Code of Procedure
11:33 Arbitration
12:07 MSRB
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvantage/
www.capadvantagetutoring.com
also some budget-friendly help on the SIE
https://achievable.me/?utm_source=capital-advantage
also kindle unlimited has some free resources for members
https://amzn.to/2QiIUPd
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the movie ha-ha
https://amzn.to/34A7rnm
0:00 Intro
0:30 Regulators
4:20 FINRA Rules
5:00 Acts
6:55 SIPC
9:05 Penny Stock
11:20 Code of Procedure
11:33 Arbitration
12:07 MSRB
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:0...
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:00 Intro
6:47 RTFQ!!! Read The Full Question
7:29 RTFA!! Read The Full Answer Set
10:21 Read the last sentence first
11:06 Project the correct answer
12:33 Process of elimination
20:13 Sesame Street. One of these things is not like the other
21:52 T or F next to answer
23:05 Too long to be wrong
24:10 Guess "B" and move on
26:12 1,2,3 to remember accredited investors
27:50 Customer buy high and sell low
Know your bid from your ask https://youtu.be/0OD_-Q4LyRU
29:36 ABC for Agent Broker Commission or Advice Business Compnsation
31:19 Three As. Action, Asset, Amount NOT time and price
32:51 Splits more shares at a lower price or less shares at a higher price
34:07 Govies are Goofy......
35:43 '33 Act is paper/prospectus and '34 Act is people/places
36:30 Primary versus Secondary
37:42 144 to remember 144
38:56 DATO 15 for option account sequence
40:20 Other People Monies Count to remember order flow of a clearing firm
42:40 DERP to remember chronological order of dividend process
44:03 DIE 90 for flow though of mutual funds and REITs
444:56 Teeter Totter or See Saw Bonds and interest rates https://youtu.be/RJxlCMQPM4M
47:15 SLoBS over BLiSS https://youtu.be/yTcgNVKtzec
Options https://youtu.be/VkZPeOZEEcY
48:33 CALL UP or PUT DOWN to remember breakevens and intrinsic value
51:22 Option Matrix
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:00 Intro
6:47 RTFQ!!! Read The Full Question
7:29 RTFA!! Read The Full Answer Set
10:21 Read the last sentence first
11:06 Project the correct answer
12:33 Process of elimination
20:13 Sesame Street. One of these things is not like the other
21:52 T or F next to answer
23:05 Too long to be wrong
24:10 Guess "B" and move on
26:12 1,2,3 to remember accredited investors
27:50 Customer buy high and sell low
Know your bid from your ask https://youtu.be/0OD_-Q4LyRU
29:36 ABC for Agent Broker Commission or Advice Business Compnsation
31:19 Three As. Action, Asset, Amount NOT time and price
32:51 Splits more shares at a lower price or less shares at a higher price
34:07 Govies are Goofy......
35:43 '33 Act is paper/prospectus and '34 Act is people/places
36:30 Primary versus Secondary
37:42 144 to remember 144
38:56 DATO 15 for option account sequence
40:20 Other People Monies Count to remember order flow of a clearing firm
42:40 DERP to remember chronological order of dividend process
44:03 DIE 90 for flow though of mutual funds and REITs
444:56 Teeter Totter or See Saw Bonds and interest rates https://youtu.be/RJxlCMQPM4M
47:15 SLoBS over BLiSS https://youtu.be/yTcgNVKtzec
Options https://youtu.be/VkZPeOZEEcY
48:33 CALL UP or PUT DOWN to remember breakevens and intrinsic value
51:22 Option Matrix
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in l...
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm commitment underwritings
21:42 Options
24:40 Opening and closing transactions
27:05 Uncovered call versus covered call
27:38 American style versus European style exercise
28:14 Option Clearing Corporation Disclosure Document
29:19 Open end funds versus closed end funds
30:03 UITs
30:28 Variable annuities
32:13 12b-1 fees
33:29 NAV
34:09 Breakpoints. GOOD!
34:50 Letter of Intent
34:29 Breakpoint Sale. BAD!
30:36 529s
37:24 ABLE accounts
38:48 Direct Participation Programs (DPPs). Partnerships.
39:42 REITs
41:29 ETFs
42:09 ETNs
43:40 Credit risk
43:57 Currency risk
44:13 Inflationary risk
44:44 Interest rate risk
45:05 Liquidity risk
45:20 Systematic or market risk
45:50 Non systematic risk or selection risk
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm commitment underwritings
21:42 Options
24:40 Opening and closing transactions
27:05 Uncovered call versus covered call
27:38 American style versus European style exercise
28:14 Option Clearing Corporation Disclosure Document
29:19 Open end funds versus closed end funds
30:03 UITs
30:28 Variable annuities
32:13 12b-1 fees
33:29 NAV
34:09 Breakpoints. GOOD!
34:50 Letter of Intent
34:29 Breakpoint Sale. BAD!
30:36 529s
37:24 ABLE accounts
38:48 Direct Participation Programs (DPPs). Partnerships.
39:42 REITs
41:29 ETFs
42:09 ETNs
43:40 Credit risk
43:57 Currency risk
44:13 Inflationary risk
44:44 Interest rate risk
45:05 Liquidity risk
45:20 Systematic or market risk
45:50 Non systematic risk or selection risk
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 calendar quarters of declining GDP. Correction of verbal errata.
10:23 Monetary policy
10:31 Fiscal policy
10:40 Demand side versus supply side
11:46 Fed funds rate, discount rate. prime rate, broker call
12:20 SECURITIES
12:25 EQUITIES
12:43 Common stock
13:03 Preferred stock
13:34 Rights versus warrants
14:27 REITs
14:50 DEBT SECUITIES
15:30 Call risk
16:07 Convertible bonds
16:43 Inverse relationship of interest rates and bond prices
18:18 Secured bonds issued by corporations
18:39 Unsecured bonds issued by corporations
19:09 Liquidation priority
19:30 Zero coupon or original issue discount bonds
20:26 US Government securities
20:54 Money market securities
22:36 GNMA
22:51 Municipal bonds
22:53 General obligation versus Revenue
24:04 OPTIONS
27:32 DPPs AKA partnerships
29:03 MUTUAL FUNDS
30:17 Open end versus closed end
31:38 Open end versus ETF
32:18 Variable annuities
32:50 Systematic risk versus unsystematic risk
33:45 TRADING
33:48 Types of orders and time qualifiers
36:15 Cash dividends versus stock dividends
37:06 Types of settlements
37:34 Types of accounts. Cash accounts and margin accounts. UGMA/UTMA
40:30 Retirement accounts
41:24 Prohibited activities
43:40 Record retention. Most are 3 years
44:25 Regulatory framework
45:12 SIPC
45:52 Insider Trading Act of 1988
46:03 Cold calling
46:24 AML
47:23 State administrator. Blue sky. Uniform Securities Act
48:44 Percentages
50:14 Business and calendar days
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABALIER - MTV UNPLUGGED (Extended Version) ++
https://umg.lnk.to/AndreasGabalier_Unplugged
+++Folgt Andreas Gabalier im Netz+++
►Webseite: https://www.andreas-gabalier.at
►Facebook: https://www.facebook.com/AndreasGabalier
#AndreasGabalier #MTVUnplugged
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your next session with "Series 7 Whisperer" Ken Finnen or follow him across his socials to find more content to help pass your next exam.
https://CapAdvantageTutoring.com/
Twitter: @wallsttutor
Instagram: @Series7Whisperer
TikTok: Blue Collar Finance @finster1967
Facebook: FINRA Exam Prep
#Series7exam #SIEexam #FINRA #CapitalAdvantageTutoring #Series7Whisperer #lastminutereview #quickanddirty
Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage
If you are looking for a Series 7 top off tutor please visit
https://www.series7exam.org
Or check out Michael Weiss ( great tutor )
https://www.series7examtutor.com
For a 15% discount on STC materials
https://www.stcusa.com/referral/capitaladvantage/
Hey everyone! Are you looking for help prepping for the Securities Industry Essentials or SIE exam? Look no further! In this video, I'm going to break down the key concepts you need to know for the SIE exam, answer some commonly asked questions, and provide some tips to get ready.
Let's start with the basics. The SIE exam is an introductory-level FINRA qualification exam. It covers four main topics: securities industry overview, stocks, bonds, and taxation. It's important to know the terminology related to these topics and be familiar with the concepts.
Next, let's cover some common questions about the SIE exam. The exam format consists of 75 multiple-choice questions of which five are practice questions. To pass the exam, you must answer at least 70 out of the 75 questions correctly. You can schedule the exam through Prometric or through your broker-dealer.
Try Kindle Unlimited for free ( 30 days)
https://amzn.to/3zRo9hA
Join this channel to get access to perks:
https://www.youtube.com/channel/UCBD1Olrt3__F_-sjOeJNb4Q/join
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Series 6 questions-- https://amzn.to/2ToH01j
Series 6 book by Wiley -- https://amzn.to/2wpInn9
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w#series7exam
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on your first try.
Link to my course- The CFA Study Blueprint:
https://aj-srmek-s-school.teachable.com/p/the-cfa-study-blueprint
If you have an idea of something you want me to cover in depth, please let me know because I take your requests seriously. Will be back with more CFA Exam tips in a couple of weeks so please submit more questions you would like to hear answered. Love you all!
- AJ
Please SUBSCRIBE for new videos every week! ▶ https://www.youtube.com/channel/UCF8oQ_rYiZ4xu5HHagy30Tg
Let’s connect:
Twitter: https://twitter.com/asrmek
LinkedIn: https://www.linkedin.com/in/aj-srmek-cfa%C2%AE-cfp%C2%AE-12a95492/
Patreon: https://www.patreon.com/StraightTalks
TikTok: https://www.tiktok.com/@straighttalksyt?lang=en
Contact Email: [email protected]
*** The information in this video is not intended or implied to be a substitute for professional financial advice. All content, including text, graphics, images, and information, contained in this video is for general information purposes only and does not replace a consultation with your financial or tax professional***
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Current yield
26:40 3 stages of money laundering. Placement. layering, and integration.
27:46 Backing away
28:32 Suspicious Activity Report (SAR)
29:05 Uniform Transfer to Minors Act (UTMA)
30:25 Step up in cost base to heirs
31:37 Discount bond
32:46 Foreign currency risk
34:46 Joint Tenants in Common (JTIC)
35:12 Between $2,000 and $4,000 customer must put up $2,000 in new margin account
35:45 Stock split NOT TAXABLE. Cash dividends are TAXABLE.
37:24 Maximum gift or gratuity employee of one member firm can give to employee of another member firm is $100
39:13 GNMA
40:24 Common stock junior in liquidation
41:22 Use of a stop order
43:00 Six calendar quarters of declining GDP is a depression
44:39 Warrants are long term and exercisable below current market price at issuance
45:57 Bonds less than BBB are less than investment grade
46:36 Protective put and long stock position
48:52 Bond at a premium
50:29 Forward pricing of open end mutual fund shares
51:31 Class A shares
52:12 Regular way settlement
53:12 Naked or uncovered call has UNLIMITED RISK!!!!
53:58 Letter of Intent (LOI)
55:05 Market maker definition
55:34 Cooling off period is a minimum of 20 days
55:57 Securities Investor Protection Corporation (SIPC)
56:43 Cumulative voting
58:38 Roth IRA
58:56 Principal approval of sales literature pre distribution
59:16 Anti Money Laundering (AML)
59:50 Monthly statements for penny stocks
1:00:41 Qualified Institutional Buyer (QIB) 144A
1:01:28 $250 campaign contribution if you can vote for elected official
1:02:00 Patriot Act
1:02:22 Fed funds rate
1:03:46 Secured bonds senior in liquidation
1:04:24 Spread
1:04:41 Tools of the Fed
1:05:58 Chapter 11 bankruptcy
1:06:17 Definition of accredited investor under Reg D
1:07:58 Stock dividend
1:09:05 Securities Act of 1933
1:10:23 Closing sale is used to eliminate or reduce or offset a long position
1:12:21 Treasury stock
1:13:36 Call risk
1:14:16 Reverse split
1:16:03 Market maker's quote and size of the market maker's quote
1:17:26 Pre refunded or refunded bond
1:18:47 Transfer agent
1:19:08 Freeride and resulting freeze of credit for 90 days
1:19:45 Tender offer accept or reject 20 days
1:20:30 Rights are short term and exercisable below CMP
1:21:47 Accrued interest
1:22:34 Amendments to U 4 must be done within 30 days
1:23:49 Bank Secrecy Act
1:24:00 IRA rollover 60 days
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it covers and how you can pass it.
The FINRA SIE is essential for anyone looking to work in finance. Passing this certification will show employers that you have the skills and knowledge necessary to succeed in the industry.
Achievable is a modern FINRA SIE course written by experts with 20+ years in the finance industry. Achievable uses technology to guarantee that you pass the first time. Try our FINRA SIE course for free to see if our style is right for you: https://achievable.me/?utm_source=basic-wisdom
0:00 Introduction
0:39 Why you should take the FINRA SIE
1:05 What is FINRA & the FINRA SIE exam?
1:35 Eligibility, structure, and pass rate
2:55 Official content outline of the FINRA SIE
7:25 Achievable's FINRA SIE content outline
12:46 FINRA SIE study tips
14:23 How to pass the FINRA SIE on your first try
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvantage/
www.capadvantagetutoring.com
also some budget-friendly help on the SIE
https://achievable.me/?utm_source=capital-advantage
also kindle unlimited has some free resources for members
https://amzn.to/2QiIUPd
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the movie ha-ha
https://amzn.to/34A7rnm
0:00 Intro
0:30 Regulators
4:20 FINRA Rules
5:00 Acts
6:55 SIPC
9:05 Penny Stock
11:20 Code of Procedure
11:33 Arbitration
12:07 MSRB
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:00 Intro
6:47 RTFQ!!! Read The Full Question
7:29 RTFA!! Read The Full Answer Set
10:21 Read the last sentence first
11:06 Project the correct answer
12:33 Process of elimination
20:13 Sesame Street. One of these things is not like the other
21:52 T or F next to answer
23:05 Too long to be wrong
24:10 Guess "B" and move on
26:12 1,2,3 to remember accredited investors
27:50 Customer buy high and sell low
Know your bid from your ask https://youtu.be/0OD_-Q4LyRU
29:36 ABC for Agent Broker Commission or Advice Business Compnsation
31:19 Three As. Action, Asset, Amount NOT time and price
32:51 Splits more shares at a lower price or less shares at a higher price
34:07 Govies are Goofy......
35:43 '33 Act is paper/prospectus and '34 Act is people/places
36:30 Primary versus Secondary
37:42 144 to remember 144
38:56 DATO 15 for option account sequence
40:20 Other People Monies Count to remember order flow of a clearing firm
42:40 DERP to remember chronological order of dividend process
44:03 DIE 90 for flow though of mutual funds and REITs
444:56 Teeter Totter or See Saw Bonds and interest rates https://youtu.be/RJxlCMQPM4M
47:15 SLoBS over BLiSS https://youtu.be/yTcgNVKtzec
Options https://youtu.be/VkZPeOZEEcY
48:33 CALL UP or PUT DOWN to remember breakevens and intrinsic value
51:22 Option Matrix
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm commitment underwritings
21:42 Options
24:40 Opening and closing transactions
27:05 Uncovered call versus covered call
27:38 American style versus European style exercise
28:14 Option Clearing Corporation Disclosure Document
29:19 Open end funds versus closed end funds
30:03 UITs
30:28 Variable annuities
32:13 12b-1 fees
33:29 NAV
34:09 Breakpoints. GOOD!
34:50 Letter of Intent
34:29 Breakpoint Sale. BAD!
30:36 529s
37:24 ABLE accounts
38:48 Direct Participation Programs (DPPs). Partnerships.
39:42 REITs
41:29 ETFs
42:09 ETNs
43:40 Credit risk
43:57 Currency risk
44:13 Inflationary risk
44:44 Interest rate risk
45:05 Liquidity risk
45:20 Systematic or market risk
45:50 Non systematic risk or selection risk
https://youtu.be/KegLDJJKMbc another popular day before SIE Exam video
RMD is now 73.
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 calendar quarters of declining GDP. Correction of verbal errata.
10:23 Monetary policy
10:31 Fiscal policy
10:40 Demand side versus supply side
11:46 Fed funds rate, discount rate. prime rate, broker call
12:20 SECURITIES
12:25 EQUITIES
12:43 Common stock
13:03 Preferred stock
13:34 Rights versus warrants
14:27 REITs
14:50 DEBT SECUITIES
15:30 Call risk
16:07 Convertible bonds
16:43 Inverse relationship of interest rates and bond prices
18:18 Secured bonds issued by corporations
18:39 Unsecured bonds issued by corporations
19:09 Liquidation priority
19:30 Zero coupon or original issue discount bonds
20:26 US Government securities
20:54 Money market securities
22:36 GNMA
22:51 Municipal bonds
22:53 General obligation versus Revenue
24:04 OPTIONS
27:32 DPPs AKA partnerships
29:03 MUTUAL FUNDS
30:17 Open end versus closed end
31:38 Open end versus ETF
32:18 Variable annuities
32:50 Systematic risk versus unsystematic risk
33:45 TRADING
33:48 Types of orders and time qualifiers
36:15 Cash dividends versus stock dividends
37:06 Types of settlements
37:34 Types of accounts. Cash accounts and margin accounts. UGMA/UTMA
40:30 Retirement accounts
41:24 Prohibited activities
43:40 Record retention. Most are 3 years
44:25 Regulatory framework
45:12 SIPC
45:52 Insider Trading Act of 1988
46:03 Cold calling
46:24 AML
47:23 State administrator. Blue sky. Uniform Securities Act
48:44 Percentages
50:14 Business and calendar days
+++Alle Infos zum neuen Best Of-Album und zur aktuellen Single „Pump It Up“ findet ihr hier+++
https://www.universal-music.de/andreas-gabalier
++ANDREAS GABALIER - MTV UNPLUGGED (Extended Version) ++
https://umg.lnk.to/AndreasGabalier_Unplugged
+++Folgt Andreas Gabalier im Netz+++
►Webseite: https://www.andreas-gabalier.at
►Facebook: https://www.facebook.com/AndreasGabalier
#AndreasGabalier #MTVUnplugged
Capital Advantage Tutoring. The #1 channel for SIE and Series 7 Exam prep with over 450 Youtube videos to help you pass the FINRA and NASAA exams. Schedule your next session with "Series 7 Whisperer" Ken Finnen or follow him across his socials to find more content to help pass your next exam.
https://CapAdvantageTutoring.com/
Twitter: @wallsttutor
Instagram: @Series7Whisperer
TikTok: Blue Collar Finance @finster1967
Facebook: FINRA Exam Prep
#Series7exam #SIEexam #FINRA #CapitalAdvantageTutoring #Series7Whisperer #lastminutereview #quickanddirty
Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage
If you are looking for a Series 7 top off tutor please visit
https://www.series7exam.org
Or check out Michael Weiss ( great tutor )
https://www.series7examtutor.com
For a 15% discount on STC materials
https://www.stcusa.com/referral/capitaladvantage/
Hey everyone! Are you looking for help prepping for the Securities Industry Essentials or SIE exam? Look no further! In this video, I'm going to break down the key concepts you need to know for the SIE exam, answer some commonly asked questions, and provide some tips to get ready.
Let's start with the basics. The SIE exam is an introductory-level FINRA qualification exam. It covers four main topics: securities industry overview, stocks, bonds, and taxation. It's important to know the terminology related to these topics and be familiar with the concepts.
Next, let's cover some common questions about the SIE exam. The exam format consists of 75 multiple-choice questions of which five are practice questions. To pass the exam, you must answer at least 70 out of the 75 questions correctly. You can schedule the exam through Prometric or through your broker-dealer.
Try Kindle Unlimited for free ( 30 days)
https://amzn.to/3zRo9hA
Join this channel to get access to perks:
https://www.youtube.com/channel/UCBD1Olrt3__F_-sjOeJNb4Q/join
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Series 6 questions-- https://amzn.to/2ToH01j
Series 6 book by Wiley -- https://amzn.to/2wpInn9
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w#series7exam
The SIE exam is pretty easy if you prepare well. But it can seem very foreign if you are new to finance. Here is how you can study well and pass the SIE exam on your first try.
Link to my course- The CFA Study Blueprint:
https://aj-srmek-s-school.teachable.com/p/the-cfa-study-blueprint
If you have an idea of something you want me to cover in depth, please let me know because I take your requests seriously. Will be back with more CFA Exam tips in a couple of weeks so please submit more questions you would like to hear answered. Love you all!
- AJ
Please SUBSCRIBE for new videos every week! ▶ https://www.youtube.com/channel/UCF8oQ_rYiZ4xu5HHagy30Tg
Let’s connect:
Twitter: https://twitter.com/asrmek
LinkedIn: https://www.linkedin.com/in/aj-srmek-cfa%C2%AE-cfp%C2%AE-12a95492/
Patreon: https://www.patreon.com/StraightTalks
TikTok: https://www.tiktok.com/@straighttalksyt?lang=en
Contact Email: [email protected]
*** The information in this video is not intended or implied to be a substitute for professional financial advice. All content, including text, graphics, images, and information, contained in this video is for general information purposes only and does not replace a consultation with your financial or tax professional***
Pause to attempt the question yourself and resume to see if you got it right.
Time Stamps:
1:42 ABLE account
2:47 Cooling off period
5:18 Primary transaction in the primary market and secondary transactions in the secondary market
8:49 Selling away
9:52 Uniform Securities Act "Blue Sky"
11:06 Best inflationary hedge is common stock
12:00 529 plan
12:39 Insider Trading Act of 1988
13:27 First trade in a new margin account under $2,000 pay in full
14:54 Rule 144
17:14 Lack of liquidity in a partnership
18:15 Systematic risk prevails despite diversification
19:49 Index fund
20:45 Municipal funds securities
22:19 Exchange Traded Notes (ETNs) are DEBT INSTRUMENTS WITH CREDIT RISK!
23:36 Allowed activities while registration is pending. Double negative should be removed. OMIT EXCEPT.
25:20 Current yield
26:40 3 stages of money laundering. Placement. layering, and integration.
27:46 Backing away
28:32 Suspicious Activity Report (SAR)
29:05 Uniform Transfer to Minors Act (UTMA)
30:25 Step up in cost base to heirs
31:37 Discount bond
32:46 Foreign currency risk
34:46 Joint Tenants in Common (JTIC)
35:12 Between $2,000 and $4,000 customer must put up $2,000 in new margin account
35:45 Stock split NOT TAXABLE. Cash dividends are TAXABLE.
37:24 Maximum gift or gratuity employee of one member firm can give to employee of another member firm is $100
39:13 GNMA
40:24 Common stock junior in liquidation
41:22 Use of a stop order
43:00 Six calendar quarters of declining GDP is a depression
44:39 Warrants are long term and exercisable below current market price at issuance
45:57 Bonds less than BBB are less than investment grade
46:36 Protective put and long stock position
48:52 Bond at a premium
50:29 Forward pricing of open end mutual fund shares
51:31 Class A shares
52:12 Regular way settlement
53:12 Naked or uncovered call has UNLIMITED RISK!!!!
53:58 Letter of Intent (LOI)
55:05 Market maker definition
55:34 Cooling off period is a minimum of 20 days
55:57 Securities Investor Protection Corporation (SIPC)
56:43 Cumulative voting
58:38 Roth IRA
58:56 Principal approval of sales literature pre distribution
59:16 Anti Money Laundering (AML)
59:50 Monthly statements for penny stocks
1:00:41 Qualified Institutional Buyer (QIB) 144A
1:01:28 $250 campaign contribution if you can vote for elected official
1:02:00 Patriot Act
1:02:22 Fed funds rate
1:03:46 Secured bonds senior in liquidation
1:04:24 Spread
1:04:41 Tools of the Fed
1:05:58 Chapter 11 bankruptcy
1:06:17 Definition of accredited investor under Reg D
1:07:58 Stock dividend
1:09:05 Securities Act of 1933
1:10:23 Closing sale is used to eliminate or reduce or offset a long position
1:12:21 Treasury stock
1:13:36 Call risk
1:14:16 Reverse split
1:16:03 Market maker's quote and size of the market maker's quote
1:17:26 Pre refunded or refunded bond
1:18:47 Transfer agent
1:19:08 Freeride and resulting freeze of credit for 90 days
1:19:45 Tender offer accept or reject 20 days
1:20:30 Rights are short term and exercisable below CMP
1:21:47 Accrued interest
1:22:34 Amendments to U 4 must be done within 30 days
1:23:49 Bank Secrecy Act
1:24:00 IRA rollover 60 days
If you're interested in a career in finance, the FINRA SIE is a certification you need to pass. In this video, we'll break down what the FINRA SIE is, what it covers and how you can pass it.
The FINRA SIE is essential for anyone looking to work in finance. Passing this certification will show employers that you have the skills and knowledge necessary to succeed in the industry.
Achievable is a modern FINRA SIE course written by experts with 20+ years in the finance industry. Achievable uses technology to guarantee that you pass the first time. Try our FINRA SIE course for free to see if our style is right for you: https://achievable.me/?utm_source=basic-wisdom
0:00 Introduction
0:39 Why you should take the FINRA SIE
1:05 What is FINRA & the FINRA SIE exam?
1:35 Eligibility, structure, and pass rate
2:55 Official content outline of the FINRA SIE
7:25 Achievable's FINRA SIE content outline
12:46 FINRA SIE study tips
14:23 How to pass the FINRA SIE on your first try
SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
STC book https://www.stcusa.com/referral/capitaladvantage/
www.capadvantagetutoring.com
also some budget-friendly help on the SIE
https://achievable.me/?utm_source=capital-advantage
also kindle unlimited has some free resources for members
https://amzn.to/2QiIUPd
Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK
Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the movie ha-ha
https://amzn.to/34A7rnm
0:00 Intro
0:30 Regulators
4:20 FINRA Rules
5:00 Acts
6:55 SIPC
9:05 Penny Stock
11:20 Code of Procedure
11:33 Arbitration
12:07 MSRB
33 SIE Test Questions found here https://youtu.be/KegLDJJKMbc
Links to larger topics are found in the time stamp for that topic in this video
Time stamps:
00:00 Intro
6:47 RTFQ!!! Read The Full Question
7:29 RTFA!! Read The Full Answer Set
10:21 Read the last sentence first
11:06 Project the correct answer
12:33 Process of elimination
20:13 Sesame Street. One of these things is not like the other
21:52 T or F next to answer
23:05 Too long to be wrong
24:10 Guess "B" and move on
26:12 1,2,3 to remember accredited investors
27:50 Customer buy high and sell low
Know your bid from your ask https://youtu.be/0OD_-Q4LyRU
29:36 ABC for Agent Broker Commission or Advice Business Compnsation
31:19 Three As. Action, Asset, Amount NOT time and price
32:51 Splits more shares at a lower price or less shares at a higher price
34:07 Govies are Goofy......
35:43 '33 Act is paper/prospectus and '34 Act is people/places
36:30 Primary versus Secondary
37:42 144 to remember 144
38:56 DATO 15 for option account sequence
40:20 Other People Monies Count to remember order flow of a clearing firm
42:40 DERP to remember chronological order of dividend process
44:03 DIE 90 for flow though of mutual funds and REITs
444:56 Teeter Totter or See Saw Bonds and interest rates https://youtu.be/RJxlCMQPM4M
47:15 SLoBS over BLiSS https://youtu.be/yTcgNVKtzec
Options https://youtu.be/VkZPeOZEEcY
48:33 CALL UP or PUT DOWN to remember breakevens and intrinsic value
51:22 Option Matrix
https://youtu.be/zprC50EdmGY is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm commitment underwritings
21:42 Options
24:40 Opening and closing transactions
27:05 Uncovered call versus covered call
27:38 American style versus European style exercise
28:14 Option Clearing Corporation Disclosure Document
29:19 Open end funds versus closed end funds
30:03 UITs
30:28 Variable annuities
32:13 12b-1 fees
33:29 NAV
34:09 Breakpoints. GOOD!
34:50 Letter of Intent
34:29 Breakpoint Sale. BAD!
30:36 529s
37:24 ABLE accounts
38:48 Direct Participation Programs (DPPs). Partnerships.
39:42 REITs
41:29 ETFs
42:09 ETNs
43:40 Credit risk
43:57 Currency risk
44:13 Inflationary risk
44:44 Interest rate risk
45:05 Liquidity risk
45:20 Systematic or market risk
45:50 Non systematic risk or selection risk