SIE Exam Prep Capital Markets. 12 questions. Explicated.

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Time stamps:
00:00 Intro
1:54 1933 Act. The prospectus or paper act.
2:55 1934 Act. The people and places act.
4:49 FINRA
4:54 Code of arbitration
5:09 Code of conduct
6:13 Uniform practice code
6:51 BRAIN FART CORPORATE AND MUNIS ARE T + 2 AND GOVIES ARE T + 1!!!!
7:49 MSRB Rule G 37
9:38 FINCEN. Bank Secrecy Act. Currency Transaction Reports (CTRs) for more than $10,000.
10:38 Stages of money laundering. Placement, layering, and integration.
11:00 Suspicious Activity Report (SAR) for $5,000 or more
12:22 NASAA. Blue sky.
13:58 Federal Reserve Board (FRB)
14:50 SIPC
15:50 FDIC
16:35 Exemptions or "safe harbors" from '33.
16:35 Reg D Private Placements. Accredited investors.
20:30 Qualified Institutional Buyers (QIBs)
22:04 PIPEs. Private Investments in Public Entities.
23:31 Introducing and clearing brokers
24:40 Prime brokers.
25:49 Investment Advisors
27:21 Municipal advisors
28:30 Three types of issuers: Corporate, Municipal, and US Treasury
29:12 Primary versus secondary
29:47 Traders and market makers
31:21 Transfer agent
31:42 Option Clearing Corporation (OCC)
34:19 Third market
35:10 Fourth market
38:32 Monetary policy
38:52 Fiscal policy
40:14 Discount rate
40:36 Fed funds rate
41:15 Financial statements
42:02 Business cycle. Definition of recession and depression.
43:56 Defensive stocks
44:35 Lord John Maynard Keynes. Keynesian theory.
47:15 Spot rate
48:56 Shelf registrations
49:31 Best efforts versus firm commitment underwritings
51:25 Blue sky