Intro to the SIE Exam (Part 1) Regulations, Equities, Bonds & More! скачать в хорошем качестве

Intro to the SIE Exam (Part 1) Regulations, Equities, Bonds & More!

SIE exam overview part 1 Podcast episode 0:00 intro 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 0:00 - Introduction & Purpose of the Video 2:15 - Understanding the Investment Company Act of 1940 4:30 - What Are Investment Companies? (Mutual Funds, UITs & More) 7:00 - How Annuities and Mutual Funds Work (Simplified Explanation) 9:15 - Face Amount Certificates – Are They Still Relevant? 12:45 - Unit Investment Trusts (UITs) Explained 15:20 - Fixed vs. Participating UITs – Key Differences 18:05 - Open-End vs. Closed-End Management Companies 20:40 - Mutual Fund Structure & How NAV is Calculated 23:00 - Why Mutual Fund Fees Matter (Expense Ratios, Sales Charges, & More) 26:10 - Mutual Funds vs. ETFs – Key Differences 29:30 - Order Types: Market, Limit, Stop, & Stop-Limit Orders 32:15 - Margin Accounts: Initial & Maintenance Margin Requirements 35:45 - Regulation T & How Margin Trading Works 39:00 - Call & Put Options – A Beginner-Friendly Breakdown 42:30 - Max Gain & Max Loss for Calls & Puts (With Examples) 45:50 - Index Options & How Cash Settlements Work 49:00 - Regulatory Compliance: Insider Trading & Information Barriers 52:15 - Regulation D & Private Placements – Who Qualifies as an Accredited Investor? 55:30 - UGMA & UTMA Accounts – Tax Implications Explained 58:45 - Understanding Economic Cycles (Expansion, Peak, Contraction, Trough) 1:02:00 - Federal Reserve Actions & Their Impact on Markets 1:05:30 - Final Exam Prep Tips & Next Steps for SIE Success Securities Regulations es #sieexam #sieexam #finra Capital Advantage Tutoring channel (#1 channel for SIE ands Series 7 Exam ) on Youtube over 300 videos to help you pass the FINRA and Nasaa exams Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-... 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/capit... Try Kindle Unlimited for free ( 30 days) https://amzn.to/3zRo9hA Join this channel to get access to perks:    / @series7exam   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 #sieexam #finra #capitaladvantagetutoring #series7whisperer Ken Finnen Chatham NJ