Audiobooks (Self-Improvement) - SIE Exam: Taking FINRA's Securities Industry Exam (SIE) Practice Test. EXPLICATED & TIME STAMPED

COMPLETE SIE EXAM Playlist https://youtube.com/playlist?list=PLK1IazV_JQbF2DcGDNhX4cFom7TWDByTV TIME STAMPS: 00:00 Intro 1:04 Variable Life 2:29 Variable rate demand note 3:32 Variable annuity contract 4:55 Forward pricing in a mutual fund 6:23 Statutory voting versus cumulative voting 8:21 Cooling off period. Red herrings. Indications of Interest (IOIs) 9:22 Accredited investors under Reg D and QIBs under 144A 11:10 UTMA 11:48 Reverse split 13:20 Primary market versus secondary market 15:04 Short or writer of a call contract 16:32 ETNs as a debt instrument 18:12 FDIC and SIPC 18:36 Accrued interest and settlement dates 20:41 Interest rates 21:50 Nonsystematic risk or selection risk 22:07 U-4s and U-5s 23:59 Selling away 25:01 Insider trading 26:22 Buy the stock and buy a put breakeven 28:09 Direct participation programs. Partnerships. 29:33 Margin in a new account 30:48 Tenants in common versus Joint tenants with rights of survivorship 31:38 Senior and junior securities in liquidation 32:30 Bank secrecy Act. FinCen. 34:25 Capital at risk 35:40 Insider trading 36:22 Outside business activities 37:01 Opening and closing transactions 39:06 Federal reserve open market operations 42:43 Spot market in currencies 43:27 Freeriding and the 90 day restriction 44:35 Call protection in a bond 46:19 Index options settle in cash 52:56 Blue Sky or state registration 54:08 pass through securities trade based on average life 54:41 Unregistered persons 55:23 MSRB G - 37 $250 Pay to play 56:38 Definition of a recession 57:05 QIBs doing PIPEs 58:37 Step up in cost base at death 59:24 Tender offer 1:00:27 Money market securities 1:01:29 Syndicate desk 1:02:00 Market makers spread 1:03:24 Regular way settlement 1:03:53 Roth IRA and Roth 401K 1:04:54 20% stock dividend 1:05:11 Advertisement 1:05:38 No load funds 1:06:29 Broker versus dealer 1:08:16 AML programs 1:09:17 Call provisions in a bond 1:09:41 Exemptions from registration under "33 1:11:04 Frequency of how investments pay 1:11:21 Transfer agent 1:11:36 Rights versus warrants 1:13:02 Breakpoints. Breakpoint sales. Letters of Intent. 1:14:37 Bond trading at a premium 1:15:13 Currency Transaction Report 1:15:39 529 1:16:00 Regulation SP 1:16:43 Selling away 1:17:11 Stock split 1:17:36 Market maker quote and "backing away" 1:20:24 Monthly or quarterly statements 1:21:05 Market maker on NYSE 1:21:15 Non-cash compensation 1:22:15 Rights offering 1:23:50 Inflationary risk