SIE exam- Free Review Chapter 19 ( Prohibited Activities) скачать в хорошем качестве

SIE exam- Free Review Chapter 19 ( Prohibited Activities)

The best way to study for the FINRA SIE exam is to read the book.. I am helping you do that by going through every chapter in the book so you can listen as you read along. 0:00 Look at all that wine 0:30 Manipulation (Act of 34) 1:42 Misrepresentation (15c3) 2:35 Reg M 4:00 Rumors 4:34 Pump & Dump 5:16 Front Running 7:19 Trading Ahead of a Research Report 8:28 Churning 10:01 Marking the Open/Close 10:54 All Quotes are Firm 11:25 Backing Away 11:50 Free Riding 14:05 Anti-intimidation, coordination, collusion 16:11 Best Execution 17:45 Trade Disclosure 19:08 Inter-positioning 20:05 Limit Order Protection Rule 21:17 Insider Trading Rule 23:22 ITSFEA 24:42 Information Barrier 25:45 Restricted List 26:42 Possession of Inside Information 28:29 Penalties for Trading on Inside Information 30:18 New Issue Rule 31:20 Free Riding & Withholding 32:32 Carve Out 32:57 Marital Exception 34:00 Restricted Persons 36:07 Issuer Directed Securities 36:37 Sharing in profits/ loss of an account 37:19 Borrowing/Lending from Customer 39:40 Specified Adults 40:23 Temporary Hold 44:42 Opening accounts at other broker dealers 48:11 Retired Representatives 49:18 Forgery 50:00 Books and records If you are looking for a Series 7 top off tutor please visit www.capadvantagetutoring.com If you are looking for materials you can get a 15% discount on STC materials by using this link Securities Training Corporation-- https://www.stcusa.com/referral/capit... If you are looking for an out of this world supplement go to: https://achievable.me/?utm_source=cap... If you are looking for a trading app feel free to click here WEBULL :https://act.webull.com/vi/z5dWcZuWlU4... Kindle unlimited has some free resources for members https://amzn.to/2QiIUPd Some more Series 7 top off material (used) http://rover.ebay.com/rover/1/711-532... 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 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