エピソード
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Meeting purpose
To provide training and review key concepts for the SIE exam
Key TakeawaysReviewed mutual funds, options, margin accounts, and other key topicsPracticed sample exam questions and discussed correct answers/reasoningInstructor will hold an additional 1-hour Q&A session on Sunday or Monday eveningParticipants should focus on additional reading and knowledge building in the final week before the examTopicsMutual FundsReviewed A, B, and C share classes and their fee structuresDiscussed breakpoints, rights of accumulation, and letter of intentCovered NAV calculation, forward pricing, and prospectus requirementsOptionsReviewed call and put options, including max gain/loss scenariosPracticed calculating breakeven points for various option strategiesDiscussed index options and cash settlementMargin AccountsReviewed Regulation T 50% initial margin requirementDiscussed maintenance margin requirements (25% for long positions, 30% for short)Covered minimum equity requirement of $2,000Order TypesReviewed market orders, limit orders, stop orders, and stop limit ordersPracticed identifying appropriate order types for different scenarios -
SIE exam overview part 1 Podcast episode
major securities regulations (Securities Acts of 1933, 1934, etc.) and their key provisions - Detailed explanations were provided on different types of securities including stocks, bonds, options, and their characteristics - Math concepts related to securities pricing, yields, and options were demonstrated - Practice questions were reviewed to show how concepts may be tested on the SIE exam
Topics
Securities Regulations
- Securities Act of 1933 covers primary market and new securities issuance - Securities Act of 1934 created the SEC and regulates the secondary market - Other key acts include Investment Company Act of 1940 and Investment Advisers Act of 1940
Equity Securities
- Common stock provides ownership, voting rights, potential dividends - Preferred stock provides fixed dividends, no voting rights - ADRs allow trading foreign stocks on US exchanges - Rights offerings allow existing shareholders to maintain ownership percentage
Debt Securities
- Corporate bonds, municipal bonds, and US Treasuries discussed - Key concepts: par value, coupon rate, yield, call provisions - Risks include interest rate risk, credit risk, reinvestment risk
Options
- Calls provide right to buy, puts provide right to sell - Key terms: strike price, premium, expiration, intrinsic value - Buying options limits risk to premium paid - Selling options has potentially unlimited risk
Calculations
- Stock splits, dividends, and rights offerings - Bond yields - current yield, yield to maturity, yield to call - Options pricing and breakeven points
Next Steps
- Review practice questions, especially on topics like options and bond yields - Focus on memorizing key regulatory acts and their provisions - Practice calculations for stock splits, dividends, bond yields, etc. - Review risks associated with different security types
#sieexam #sieexam #finra
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Join us for rebroadcast an exclusive Q&A session dedicated to all aspiring finance professionals. Whether you're tackling the Series 7, Series 63, Series 65, or Series 66 exams, this is your golden opportunity to get expert advice, study tips, and answers to all your burning questions. Our panel of seasoned finance professionals and educators are here to guide you through the complexities of FINRA and NASAA licensing exams, helping you to not only understand the material but to master it.
What We'll Cover:
Series 7 Exam Prep: Strategies for success in General Securities Representative Examination.Series 63 Exam Insights: Tips for navigating the Uniform Securities Agent State Law Examination.Series 65 Exam Breakdown: Expert advice for the Uniform Investment Adviser Law Exam.Series 66 Exam Guidance: Combining the Series 63 and 65 exams into a comprehensive overview. When finance laws make you frown,
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Join us for a comprehensive 20-minute deep dive into the diverse world of mutual funds, tailored specifically for Series 7 and Series 6 exam takers, as well as finance enthusiasts. In this episode, we break down the various types of mutual funds, including equity funds, bond funds, money market funds, and hybrid funds. Learn about their unique characteristics, benefits, and risks to enhance your financial knowledge and ace your exams. Perfect for anyone preparing for their Series 7 or Series 6 exams, or those keen on mastering the basics of mutual fund investing. Tune in to stay ahead in your financial journey!
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Get ready to ace your Series 7 exam with our concise, 5-minute podcast on the cost basis of options. This high-level overview is perfect for Series 7 exam takers looking to grasp the essentials quickly and efficiently. In this video, we'll cover: What is the cost basis of options? How to calculate the cost basis for options. Key terms and concepts you need to know for the Series 7 exam. Whether you're a first-time test taker or revisiting the material, our clear and straightforward explanation will help you understand and remember this crucial topic. Keywords: Series 7 exam, cost basis of options, options cost basis, Series 7 options, Series 7 exam prep, financial exam preparation, Series 7 study guide, cost basis calculation, options basics, investment fundamentals
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Join us LIVE for an exclusive Q&A session dedicated to all aspiring finance professionals. Whether you're tackling the Series 7, Series 63, Series 65, or Series 66 exams, this is your golden opportunity to get expert advice, study tips, and answers to all your burning questions. Our panel of seasoned finance professionals and educators are here to guide you through the complexities of FINRA and NASAA licensing exams, helping you to not only understand the material but to master it. What We'll Cover: Series 7 Exam Prep: Strategies for success in General Securities Representative Examination. Series 63 Exam Insights: Tips for navigating the Uniform Securities Agent State Law Examination. Series 65 Exam Breakdown: Expert advice for the Uniform Investment Adviser Law Exam. Series 66 Exam Guidance: Combining the Series 63 and 65 exams into a comprehensive overview. When finance laws make you frown,
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Are you preparing for the Series 7 exam or interested in becoming an accredited investor? This video breaks down everything you need to know about accredited investors, including the qualifications, benefits, and why it's crucial for your investment journey. Perfect for Series 7 exam takers and anyone looking to expand their financial knowledge.
Keywords: Accredited Investor, Series 7 Exam, Investment Qualifications, Financial Education, SEC Guidelines, Investment Opportunities, Wealth Management, Accredited Investor Benefits, Series 7 Prep
Topics Covered:
Definition of an accredited investorIncome and net worth requirementsBenefits of being an accredited investorInvestment opportunities exclusive to accredited investorsTips for Series 7 exam preparationDon't forget to like, comment, and subscribe for more Series 7 exam tips and investment insights!
#AccreditedInvestor #Series7Exam #InvestmentEducation #FinancialKnowledge #WealthManagement
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Join us LIVE for an exclusive Q&A session dedicated to all aspiring finance professionals. Whether you're tackling the Series 7, Series 63, Series 65, or Series 66 exams, this is your golden opportunity to get expert advice, study tips, and answers to all your burning questions. Our panel of seasoned finance professionals and educators are here to guide you through the complexities of FINRA and NASAA licensing exams, helping you to not only understand the material but to master it. What We'll Cover: Series 7 Exam Prep: Strategies for success in General Securities Representative Examination. Series 63 Exam Insights: Tips for navigating the Uniform Securities Agent State Law Examination. Series 65 Exam Breakdown: Expert advice for the Uniform Investment Adviser Law Exam. Series 66 Exam Guidance: Combining the Series 63 and 65 exams into a comprehensive overview. When finance laws make you frown,
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Kenneth explained the concept of arbitrage, which involves taking advantage of price discrepancies by buying one item and selling another simultaneously to secure a profit. He clarified that this process is legal and distinct from arbitration, which is used for resolving disputes. Kenneth also shared his experiences working on the Stock Exchange in the 90s, where trades were conducted manually and price discrepancies could be exploited.
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FINRA exam Membership class - June 07
VIEW RECORDING - 61 mins (No highlights)
Meeting purposeDiscuss FINRA Series 7 exam preparation and share test-taking tips
Key TakeawaysThe actual exam questions differ from vendor-provided practice questionsSuitability questions make up a large portion of the exam and are challengingTrusting your instincts and preparation is key when answering ambiguous questionsTime management is important - spend about 2 min per question and move onTopicsMalachi's Series 7 Exam ExperienceActual exam questions are very different from vendor practice questions~40 straightforward questions similar to practice, rest are suitability-focusedSuitability questions present two good answers, one only slightly betterFelt uncertain after exam, but trusted preparation and instinctsPassed despite getting a challenging mix of question topicsTips for Taking the Series 7 ExamMaster suitability to discern the best answer between two good optionsMemorize key rules and tricks to quickly eliminate wrong answersBudget about 2 minutes per question, then move on confidentlyTrust your knowledge and preparation when questions seem ambiguousAvoid second-guessing and changing answers unless certain -
In this riveting episode, delve into the high-stakes world of sales and finance. Experience the intensity of a sales pitch as a broker goes all out to sell penny stocks with immense potential. Listen as he navigates through objections, leveraging his expertise and persistence to close the deal.
Meanwhile, an engaging discussion unfolds about the nuances of business strategies, customer choices, and ownership. Discover how women value uniqueness in choices and how brands can cater to this desire.
Learn from real-life anecdotes about the importance of being relentless and always closing deals, illustrated through various broker experiences. Gain insights into the psychology of sales, the art of persuasion, and the critical need for adaptability in the financial sector.
This episode also touches on the personal growth journey, highlighting the significance of studying hard, staying motivated, and the eventual triumph over challenging financial exams.
Whether you're in finance, sales, or just interested in the dynamics of the market, this episode offers valuable lessons and inspiration to keep pushing forward.
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In this episode , we'll explore the upcoming shift in the financial industry from a T+2 (trade date plus two days) settlement cycle to a T+1 (trade date plus one day) settlement cycle. Discover the reasons behind this change, its impact on investors, brokers, and the overall market. We'll break down the benefits of a shorter settlement period, including reduced risk and increased efficiency. Stay informed and prepared for this significant update in the trading landscape.
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oin us LIVE for an exclusive Q&A session dedicated to all aspiring finance professionals. Whether you're tackling the Series 7, Series 63, Series 65, or Series 66 exams, this is your golden opportunity to get expert advice, study tips, and answers to all your burning questions. Our panel of seasoned finance professionals and educators are here to guide you through the complexities of FINRA and NASAA licensing exams, helping you to not only understand the material but to master it. What We'll Cover: Series 7 Exam Prep: Strategies for success in General Securities Representative Examination. Series 63 Exam Insights: Tips for navigating the Uniform Securities Agent State Law Examination. Series 65 Exam Breakdown: Expert advice for the Uniform Investment Adviser Law Exam. Series 66 Exam Guidance: Combining the Series 63 and 65 exams into a comprehensive overview. #series7exam #sieexam #series7whisperer
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Are you preparing for the SIE Exam or Series 7 Exam and want to master the concepts of riskless principal and net basis trades? Look no further! In this video, we break down these critical topics, ensuring you have a clear understanding for your exams. This is a way too fast rundown on riskless principal vs Net Basis We'll cover: What is a riskless principal trade? How does a net basis trade work? Key differences between riskless principal and net basis trades Real-world examples to solidify your understanding Tips and tricks to remember these concepts for the SIE and Series 7 exams Whether you're a new test-taker or brushing up on your knowledge, this video is packed with valuable information to help you succeed. Don't forget to like, subscribe, and hit the bell icon for more exam preparation tips and tutorials! Keywords SIE Exam Series 7 Exam Riskless Principal Trades Net Basis Trades Securities Industry Essentials FINRA Exam Prep Trading Concepts Investment Banking Financial Exams
https://youtu.be/wnxv0cv3jsI?si=1NW7TSY_UQVVV-_L
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