Intro the SIE Exam Part 2

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

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Meeting purpose

To provide training and review key concepts for the SIE exam

Key Takeaways
Reviewed mutual funds, options, margin accounts, and other key topics
Practiced sample exam questions and discussed correct answers/reasoning
Instructor will hold an additional 1-hour Q&A session on Sunday or Monday evening
Participants should focus on additional reading and knowledge building in the final week before the exam
Topics
Mutual Funds
Reviewed A, B, and C share classes and their fee structures
Discussed breakpoints, rights of accumulation, and letter of intent
Covered NAV calculation, forward pricing, and prospectus requirements
Options
Reviewed call and put options, including max gain/loss scenarios
Practiced calculating breakeven points for various option strategies
Discussed index options and cash settlement
Margin Accounts
Reviewed Regulation T 50% initial margin requirement
Discussed maintenance margin requirements (25% for long positions, 30% for short)
Covered minimum equity requirement of $2,000
Order Types
Reviewed market orders, limit orders, stop orders, and stop limit orders
Practiced identifying appropriate order types for different scenarios
Regulatory Topics
Discussed Regulation D private placements and accredited investor requirements
Reviewed insider trading policies and information barriers
Covered UGMA/UTMA accounts and tax implications
Economic Cycles
Reviewed expansion, peak, contraction, and trough phases
Discussed Federal Reserve actions during different economic cycles


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Ken Finnen Chatham NJ