SIE Exam Prep Investment Risks 33 Questions!!! EXPLICATED
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- Опубліковано 29 чер 2024
- • SIE Exam Prep Customer... is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock. Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions. Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm commitment underwritings
21:42 Options
24:40 Opening and closing transactions
27:05 Uncovered call versus covered call
27:38 American style versus European style exercise
28:14 Option Clearing Corporation Disclosure Document
29:19 Open end funds versus closed end funds
30:03 UITs
30:28 Variable annuities
32:13 12b-1 fees
33:29 NAV
34:09 Breakpoints. GOOD!
34:50 Letter of Intent
34:29 Breakpoint Sale. BAD!
30:36 529s
37:24 ABLE accounts
38:48 Direct Participation Programs (DPPs). Partnerships.
39:42 REITs
41:29 ETFs
42:09 ETNs
43:40 Credit risk
43:57 Currency risk
44:13 Inflationary risk
44:44 Interest rate risk
45:05 Liquidity risk
45:20 Systematic or market risk
45:50 Non systematic risk or selection risk
Thank you dean!! Just passed sie and want to give a little insight. STUDY UP ON DEBT AND TREASURY SHIT I had 15-20 questions on. Everything else know a base level and you are good. These videos really made the content clear dean much love. I am tipsy and fired up you all have the test in the bag if you dug this deep, be confident and cross out the answers you know are wrong and you will succeed.
KUDOS on your SIE testing victory!!! What's next? 6? 7?
@@Series7Guru on to the 7!
anything else?
Thank u for sharing this...my test is coming up in a few days I definitely will re- review Treasury items and Debts... if u have any other insight or thing that u remember were there let me know... ❤
Thank you for this heads up 🙏🏼
I passed my SIE ON JULY 31, 2023! With watching your lectures and studying with Kaplan material! First try! On to the 7! Thanks DEAN!
De nada. Always very gratifying when my channel contributes to test taking victories like yours.
What they asked a lot on this section when you took it? @samarabatres8669
I found your channel at the right time!!! Thank you for teaching this stuff. I have never worked in the finance field and got hired and sponsored to get licensed. I did not have much time to study due to marriage, work and kids....then eventually 2 weeks before the exam I am trying to cram (Pass Perfect courses). So here I am 2 days before the exam and still have not finished 5 chapters. Panicking... But thanks to your courses, I passed the SIE on the first try today February 7th. I cried and your face came to mind because I could not have done it without your help and 1 other youtuber. Thank you!!!
Kudos on your first testing victory!
who was your other UA-camr? working on getting mine soon
@@cristhianbaronbmx Pass Masters
Just wanted to drop you a note of thanks for your tireless work and effort on explaining the SIE material. Being formally out of the industry for 25 years, the SIE material seemed overwhelming at first. After watching and re-watching your videos, flash cards and investopedia, I passed my SIE exam today! Thank you Dean. Now off to find a B/D in Prescott Valley so I can watch your remaining videos😀. 🚀
Kudos!!!!
Congrats Dennis. I'm yet to take my SIE test but your testimony is encouraging!!!
Where's Prescott Valley? Did you find a B/D?
It is so overwhelming for me since it’s all so new! I know the restaurant business 10 yrs; cosmetology biz 25 yrs; caregiver biz 8 yrs and parenting 24 yrs. This is killing me!
I will try Investopedia and more videos of Dean. I have been studying since December.
@@Series7Guru how can i get a print out of these word document explanations?
thank you dean.... this was extremely helpful! i was feeling completely lost and these videos are really bringing it all together! eternally grateful sir
Glad to hear you are making progress and my videos are helping. This is target rich for sure.
Thank you so so much I am actively studying for my SIE and I feel more confident thanks to this breakdown as it is the biggest portion of the test.
Glad you found it helpful. You got this!
Dean wanted to thank you for your material. The day before and the day of my SIE testing I played your videos over and over and it definitely helped and I passed my SIE. I’m on to my series 6 now. I will watch your material on series 6. Thank you once again.
Kudos on your SIE exam testing victory! The journey of 3 and 0 begins with 1 and 0.
Thanks dean!!! Im taking my SIE on wensday and these are so helpful. Ive been watching your videos for the past few weeks and they have been an amazing study tool. Keep up the great work
Glad you have found them helpful.
Hey Dean, I passed all of my Finra using your supplemental videos with your help. They help a lot! Especially these explications. You are definetely right when you said to not only depend on these videos but also your study materials.
KUDOS!!! Undefeated on FINRA exams! Indeed. My channel is free supplement NOT a substitute for paid study materials from a test prep provider like Kaplan or another vendor.
You are the G.O.A.T. Dean, felt unprepared till I binge-watched your videos. I passed, wouldn't have without you. Much love.
Kudos! Always very gratifying when my videos contribute to test taking victories like yours.
These are Super helpful ! Thank you for all that you do! Going from the medical world
To the finance world has been a huge shift.
Glad you are finding them helpful. This is the target rich part of your exam.
Thank you so much for these videos - all your videos are so helpful and I PASSED THE SIE TODAY because of your videos but i wanted to thank you and i have shared your videos with at least 2 other people! thank you again
Kudos on your SIE testing victory! Thanks for the referrals.
Always very gratifying when my videos contribute to test taking victories like yours.
Thank you Dean this was very helpful! Looking forward to the third section🙏🏾
You are welcome and we will do the third section. Thanks for the input.
Don't forget not a substitute for SIE lectures.
I will try to publish the third section in the next few days.
Cheers for the video Dean! Passed a few minutes ago. Your content is much much appreciated! Your video was a good recap before the test.
Glad you are finding the SIE videos helpful. The journey of 3 and 0 begins with 1 and 0
Missed my first attempt by one question. Found your videos & now I’m sure I’ll ace my next go at it!
Thank you, please keep this coming for future candidates.
Damn. Scores like that hurt but I am sure you will pick up more than the one point you need. We have another SIE practice test that will be uploaded tomorrow.
Very helpful, was the extra explanation I needed to absorb what I had been reading, I can now go back and study more confidently. Thank you!
Glad you are finding them helpful
Dean, thank you for helping me pass my SIE exam today. Looking forward to pushing on to the 6!
Kudos on your first test taking victory!! Always very gratifying when my channel to test taking victories like yours.
This has been GREAT for me. I'm taking my test in two weeks and this is a great walkthrough of these securities and their risks.
Glad you found it helpful. Lots of test questions. Target rich.
I'M SO GLAD I FOUND THIS! THANK YOU DEAN!
Glad you are finding it helpful
THANK YOU! Today I passed the SIE. I watched a bunch of your videos and they were amazing reflections of the sections on the exam. I will definitely use these videos for my Series 7 prep! 🔥🔥🔥
Kudos on the first of your three testing victories!
Always very gratifying when my SIE playlist contributes to testing victories like yours.
Thanks for all your help Dean. Looking forward to more videos.
You're welcome. Have two more SIE videos coming shortly.
Very helpful and useful, so much clearer than the materials i have read!!! You are awesome!
Glad it was helpful!
This is super helpful. One of the worst parts of taking the exam is that it jumps all over the place, so it’s very satisfying to see the content be organized.
Glad you are finding it helpful
Loved this! It was very helpful and to the point!
Glad you liked it. It is a good checklist for what you are held accountable for on your SIE exam.
thank you for this awesome video Dean!
You are welcome.
Wow! I feel like I just hit the jackpot 🎰 thank you so much for this 💖
This is target rich. Most testable function on the SIE Exam.
This was very helpful thank you!
I fished the SIE book 13 chapters. I still needed to position my focus on what will be tested and your briefing of this outline as excellent!
Reading the entire book through with modules is great. However this was helpful to make all they I study more narrow!!
Glad you found it helpful
I have been finding these very helpful while studying for the SIE! I was having trouble retaining the info until I found your videos. Im two weeks out from my exam date, and am feeling much more hopefully for my chances of passing. Thanks so much!
Glad you are finding them helpful. This video is particularly target rich!
This was very helpful for me, some of these I was having a hard time I understanding but seeing you explain it really helped
Glad you found it helpful
HELPFUL. Thank you Dean!
Glad it was helpful!
Thank you for your very helpful videos. I am a former insurance agent and Registered Representative, Series 6 license from back in the 80s. I have watched a number of your videos and they are excellent.
Thank you.
Thanks for the material again, just passed the SIE, it was honestly a breeze, on to the more challenging series 7 next week which I am much more nervous about haha
Kudos on your first testing victory! The journey of 3 and 0 begins with 1 and 0.
ua-cam.com/video/zprC50EdmGY/v-deo.html is the next one
Extremely useful! my test is in 4 hours thank you sm for this
Sending you get test vibes!
Great content Thanks so much Dean!!!!!!!!!!!
This is one of my most target rich pieces of content. Glad you found it helpful.
Thank you so much for your Explications I Passed my SIE on Saturday my first try. I was scheduled for 31st Dec but snowstorm got the date moved. Your videos are great. Now I am on to Series 7. I saw your coupon for Kaplan somewhere. Need that. Thanks.
Kudos on passing your SIE exam!!! Always very gratifying when my explications contribute to test taking victories like yours. My Kaplan 10% discount at checkout is Guru10.
Thank you Dean. This is so helpful
De nada. Glad you found it helpful.
Thank you Dean. This is very helpful.
You are welcome.
It's very useful content. I have watched 2 times so far. I am probably going to watch it again. Thank you very much for giving such a great lecture.
Glad it was helpful!
Taking my test today! this is bring it all together.
You got this!
So helpful 🎉thank you for your time and this incredible heart to help us to understand better. May God bless you forever in all you are doing .
So glad you are finding them helpful
Another hugely helpful lecture. THANK YOU.
You are welcome. Section 3 will be published shortly.
I found this productive, thank you
De nada
Super helpful Dean! Please release the 3rd section because you made concepts simpler and easier to understand compared to the book that stuffs so much information it can be hard to retain and distinguish between two concepts
The third section is done and is in the playlist.
@@Series7Guru hello!! I can’t find any playlist for the SIE! Where should I be looking at? This outline was awesome 🙏🏼 thank you for taking the time and doing this!
@@tantinalabonitahere you go How to Pass the Securities Industry Essentials Exam!: ua-cam.com/play/PLK1IazV_JQbF2DcGDNhX4cFom7TWDByTV.html
Extremely helpful!! thank you!
De nada
This is very helpful, I like it very much. I have to listen to it over and over because I have a serious challenge understanding options and bonds trading...for some reason the information doesn't stick... Thank you so much for this.
You are welcome.
Thank you so much for the SIE comment it’s just so helpful and I love you teach look ing for worth togo back over the section two again thanks so much E R
You are welcome. I am very proud of my SIE Exam Playlist.
thank you so much for posting this
You are welcome
Thank you . . . I found this SUPER Helpful
Glad it was helpful! Section 2 is target rich!
Thank you so much! My exam is in two days and this is very helpful!
This is a very target rich area of your exam. Glad you are finding it helpful
Thank you. These videos are great!
You're welcome. Glad you are finding them helpful.
@Series 7 Guru hi, I have Been watching your videos for my upcoming test. Is there a way to print out the PDF you have laid out?
No there is not.
Thank you, Dean! Just passed the SIE as a junior in University!
KUDOS on your testing victory!! Love it. Off to a great start.
love your lectures ty for all your help
My pleasure
Boss man !!!!! Passed my SIE on first try .. you were absolutely right. It doesn’t really test “knowledge” you have to know the basis of it and concept. Questions on the test seem “different” from the material but if u know what they are asking you and what’s not the answer you will have a better shot.
Kudos on your first testing victory! The journey of 3 and 0.begins with 1 and 0.
Any advice on 6. I’m about to take it in 2 weeks .. 🙏🏾🙏🏾🙏🏾🙏🏾🙏🏾
Your videos helped me pass first try.
Kudos!!! Passing the first time is the best outcome for sure. Glad to hear my videos contributed to your success!!
Thank you! Very helpful
Glad you found it helpful. Remember this is the biggest section of testable content on the SIE.
Thank you! Find it very useful
Glad you found it helpful
Great knowledge and experience, excellent explanation, thank you, very much,
De nada
This is really useful. Thank you.
Glad you are finding it helpful
Just took the SIE today! I almost purely used your videos and a few other free practice tests and PASSED it first try! Thank you for your amazing help🙏 I watched almost all of your videos and took my own notes until what you said was almost second nature. Inch by inch BABYYYY
Kudos on your first testing victory! The journey of 3 and 0 begins with 1 and 0.
@@Series7Guru ❤️
Would you recommend taking 66 or 63? Or does it depends?
@@davidcynkin6264 66
How does really the free practice test helps or appears in the exame?
This is a great help Keep this going please!!
Will do. Glad you found it helpful
This is so helpful please do part 3 or continue
@@katierobinson3934 I have. They are in the playlist
This is so helpful!!!! I test next week
Sending you good test vibes!!! Glad you are finding my videos helpful. This a target rich video for sure!
thank you Guru. enjoying training with you videos.
Glad you are finding them helpful
Just wanted to say thanks! Pretty sure the only way I passed was because I listened to this video this morning and your Sie in 60 minutes last night.
Kudos on your first testing victory!
Pick two target rich videos for sure.
Always very gratifying when my videos contribute to test taking victories like yours.
Helpful review.thank you
Glad you found it helpful. This is the biggest part of the SIE. 33 qiestions!!!!
This was very helpful. Thank you.
Glad it was helpful!
God bless Dean!
Feel so good! I knew all of this content! Exam in the next 2 hours
Well then you should make your mark!
@@Series7Guru I’m super confident! I’ll update you in 3 hours
@@AndresG_tesla looking forward to it!
@@Series7Guru passed thank you to you boss!! On to the 6! Any videos you recommend me watch in order?
Very useful!
Thanks. Wasn't sure when we started it.
very useful :) thank you
You are welcome. Remember this is where the most SIE exam questions are found.
Passed SIE, your content was so helpful, and nice break from computer based learning!
Kudos on passing your SIE exam!!! Always gratifying when my content contributes to test
taking victories like yours. What's next? 6? 7?
@@Series7Guru 7 this week and 63 the next!
@@Series7Guru passed 7 , thank you Dean!
@@pmgrlnd kudos on passing your Series 7 exam. 2 and 0!
@@Series7Guru 3-0! Thanks again!
this is very helpful. thank you
Glad you found it helpful. If an SIE test taker could only watch one of my videos this would be the one I would recommend. Biggest function on the SIE exam.
I failed my SIE by one point today, definitely thought I knew the risks and capital market stuff more than I did. Going to be using your videos going into the next one 🤞🏻
Damn! That hurts for sure. Here are my five recommendations on how to respond to that misfortune ua-cam.com/video/RbkE6AnnpT8/v-deo.htmlsi=L2QGCCWV5TSqa41_
Thank you sir!
De nada
Super helpful 🎉
Glad you found it helpful.
Thanks for teaching
My pleasure
thank you so much
De nada.
I am taking SIE next week. This helps me a lot. I hope I can pass the test ❤️❤️
You got this!
@@Series7Guru thank you ❤️ I'll make use of these teachings you have in your channel. I hope you don't mind ❤️
I take my SIE today, watching these videos for a last minute refresher. I hope I pass 🤞🏻
Sending youngood test vibes! Be confident in your answers. You got this!
@@Series7Guru I sadly received a score of 69% 1 point away from victory, I know what to study now, and I will get it next time.
@@jordanirick1176 damn that hurts for sure but you will get the testing victory next time for sure. You got this!
My man loves the word “explication”
Indeed. It is my word. Others now use it too. Lol.
Hey Dean. You may already have a video like this but I was wondering if I could request a lecture on the regulations that can be expected on the SIE?
Thank you so much! I found this is very helpful. Will there be a download option where I can use for my study? Thank you so much
Glad you found it helpful. There is no download option.
Dean! This was amazing I passed the SIE. Are you able to review the series 6 outline atleast the big portion that will be tested ? I take it in two weeks if not do you have a playlist for series 6?
Series 6 Exam Practice Tests & Lectures: ua-cam.com/play/PLK1IazV_JQbFI7qC1rizVKzK9NumgX1W-.html
@@Series7Guru your the best ! Thank you!!
Thanks
De nada. This video is target rich!
Helpful.
Glad you found it helpful
This is great. Did you do a 3rd section? Thanks Dean
The whole SIE content outline has been explicated and is in the SIE playlist. Here is Function 3:
ua-cam.com/video/zprC50EdmGY/v-deo.html
very helpful
Glad you found it helpful.
"I hightly recommend you prind out this PDF and use it while studying" is what I heard you say Dean.
Indeed. From the FINRA website
@@Series7Guru ok thanks for all you do!
Hi Dean, do you have an SIE practice test playlist that aligns directly with the 4 functions mentioned on how the exam will be split up? So I can maybe get an idea for example if it is asking about "products and their risks" what a product and their risks question may look like in real time when taking the exam. To identify and be able to better differentiate on the exam "Oh this is a question that has to do with products and their risks, Function 2?
There is a whole playlist of many SIE practice tests like the real test the questions are randomized so no.
Dean you helped me pass. I want to leave you a tip. Please direct me how.
Not necessary. But super chat is the way to do it.
I failed the SIE twice by 1 point each time. I’m mentally drained and I don’t know what else I can do I put so much hours of studying and I pushed myself so hard but it does not work out. I’m not a very good test taker and I even got a teacher to help me the second time. I feel like I should give up but I really don’t. I have 1 more chance what do I do😢
You have another at bat.
So it is not time to give up. It is time to DOUBLE DOWN!
Take a week to refresh and reset. Then time to prepare to back in the cave one last time to slay that SIE dragon.
@@Series7Guru thank you
I am currently studying for my SIE on Feb 20th. You mentioned downloading the PDF, can you share the link or tell me where to find the PDF online. Thank you
helpful
Glad you found it helpful
Hey Dean, first I would like to thank you so much for your videos you are an angel. Quick question at 15:24 you said Banker's Acceptances have a 270-day maturity. Is that correct because I thought it was 180 days? I just want to verify.
It is correct.
bring cursor to the middle of the word, right click it and it will give you the correct spelling. thanks for your videos!
Thanks for the tip!
Are warrants able to be bought at that higher than above market price and sold immediately after or is there a period to wait out? Just a random question I had
You can buy and sell warrants anytime you like.
Hey! You make anymore of these? I don’t see anymore!
They are in the playlist
Awesome stuff. Can u email me the pdfs of all the explications with your outline and notes for 1-4? Thank u very much
No. That is not available.
Does there exist a lecture where it just goes over straight questions, answers and then brief explanation? This seems like note taking which is great but yeah. If there exists please lmk 😂
There is a whole playlist. You can find it on the home page
Where are your options lectures videos. I really need help!!!
Just put options into the channel search bar