SIE Exam Tomorrow? This Afternoon? Pass? Fail? This 60 Minutes May Be The Difference!

REGULAR WAY SETTLEMENT IS NOW T + 1!
   • SIE Exam Prep Investment Risks 33 Que...   another popular day before SIE Exam video
RMD is now 73!
Time stamps:
00:00 Introduction
1:00 CAPITAL MARKETS
1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act.
2:12 Private placements of unregistered securities
3:10 Accredited investor definition
3:30 Shelf registration
4:59 Secondary markets
5:00 NYSE is an auction order driven market
5:20 NASDAQ is an OTC market
5:25 OTC markets are negotiated quote driven markets
5:58 Third market - listed securities traded OTC
6:05 Fourth market - direct trading between institutions
6:43 QIBs
7:19 PIPEs
7:47 Types of broker/dealers
9:56 ECONOMICS
10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 calendar quarters of declining GDP. Correction of verbal errata.
10:23 Monetary policy
10:31 Fiscal policy
10:40 Demand side versus supply side
11:46 Fed funds rate, discount rate. prime rate, broker call
12:20 SECURITIES
12:25 EQUITIES
12:43 Common stock
13:03 Preferred stock
13:34 Rights versus warrants
14:27 REITs
14:50 DEBT SECUITIES
15:30 Call risk
16:07 Convertible bonds
16:43 Inverse relationship of interest rates and bond prices
18:18 Secured bonds issued by corporations
18:39 Unsecured bonds issued by corporations
19:09 Liquidation priority
19:30 Zero coupon or original issue discount bonds
20:26 US Government securities
20:54 Money market securities
22:36 GNMA
22:51 Municipal bonds
22:53 General obligation versus Revenue
24:04 OPTIONS
27:32 DPPs AKA partnerships
29:03 MUTUAL FUNDS
30:17 Open end versus closed end
31:38 Open end versus ETF
32:18 Variable annuities
32:50 Systematic risk versus unsystematic risk
33:45 TRADING
33:48 Types of orders and time qualifiers
36:15 Cash dividends versus stock dividends
37:06 Types of settlements
37:34 Types of accounts. Cash accounts and margin accounts. UGMA/UTMA
40:30 Retirement accounts
41:24 Prohibited activities
43:40 Record retention. Most are 3 years
44:25 Regulatory framework
45:12 SIPC
45:52 Insider Trading Act of 1988
46:03 Cold calling
46:24 AML
47:23 State administrator. Blue sky. Uniform Securities Act
48:44 Percentages
50:14 Business and calendar days