36 SIE Exam Questions - Topics You Must Know With Suzy
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- Опубліковано 29 чер 2024
- Are you studying for the SIE exam? If so, THIS is a great video for you. In this Questions of the Week video Suzy Rhoades, the financial training expert at PassMasters, covers 36 Securities Industry Essentials (SIE) questions for you! These 36 questions represent the 36 TOPICS that you can expect to encounter when you take the SIE exam.
How do we know this? FINRA publishes an SIE content outline and Suzy has created a course that includes all of the information from the outline, broken down into easily digestible topics. In the case of the SIE exam, the course includes 36 TOPICS! Each topic in our course includes a PDF to read, a video to watch where Suzy explains what you read so it actually makes sense, and then a topic quiz to practice.
To check out the SIE course:
passmasters.com/securities/sie/
The SIE exam expects you to know a lot! It will take time and effort to pass this exam. We believe in you and know that YOU GOT THIS!
If you are curious about the FINRA SIE exam, check out this link:
www.finra.org/registration-ex...
This exam comes from our PassMasters website where can you take FREE SECURITIES PRACTICE EXAMS for each of the securities courses that we offer: learn.passmasters.com/student...
Suzy also has course for those of you studying for your Series 6, 7, 63, 65 and 66 exams!
Check out all our offerings here:
passmasters.com/securities-ex...
Please let us know how we can help you on your journey in the securities industry. Just ask in the comments.
#sieexam #sietestprep #FINRAexams
Contents of this Video
0:00 - Intro
0:33 - Practice Question 1 - Repurchase agreements
1:42 - Practice Question 2 - What is this security?
2:15 - Practice Question 3 - How much can you lose?
2:41 - Practice Question 4 - Net worth formula
3:14 - Practice Question 5 - ETFs
4:13 - Practice Question 6 - Hedge funds
5:09 - Practice Question 7 - ETNs
5:38 - Practice Question 8 - Variable life insurance
6:33 - Practice Question 9 - Nonqualified retirement plan
7:26 - Practice Question 10 - HSA contributions
8:18 - Practice Question 11 - How is a dividend most commonly paid
8:40 - Practice Question 12 - Most important yield on a callable bond
12:27 - Practice Question 13 - Real return
14:06 - Practice Question 14 - Written complaint
14:35 - Practice Question 15 - Who does the CBOE run fingerprint based background checks on
15:11 - Practice Question 16 - Proxy and annual meeting
16:06 - Practice Question 17 - Maximum prison sentence for insider trading
16:23 - Practice Question 18 - Options hedge breakeven
18:03 - Practice Question 19 - Mail hold rule
18:37 - Practice Question 20 - Cost basis on inherited stock
19:05 - Practice Question 21 - Trading currencies
19:42 - Practice Question 22 - Systematic risk
20:20 - Practice Question 23 - Annuities
20:47 - Practice Question 24 - Market momentum
21:27 - Practice Question 25 - Bid minus commission
22:03 - Practice Question 26 - Regulation S-P
22:48 - Practice Question 27 - Discretionary authority
23:15 - Practice Question 28 - CIP Program
23:38 - Practice Question 29 - Securities markets
24:17 - Practice Question 30 - When can a R/R share in a customer's account
24:55 - Practice Question 31 - Block order
25:09 - Practice Question 32 - Market manipulation
25:35 - Practice Question 33 - Firm's do-not-call list
26:21 - Practice Question 34 - Rule 503 Form D
26:55 - Practice Question 35 - Form CRS
27:20 - Practice Question 36 - Inverted yield curve
29:47 - Recap
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. I listened to this specific video on the 1 hour drive to test location and even listened as I fell asleep. I passed 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!!!
What a wonderful story! So proud of all your hard work and grateful to have played a part in your success. You bring tears to my eyes too! You are so welcome. I wish you all the best 🥰
Who was the other youtuber?? I take it tomorrow at 2:30pm and I am FREAKING OUT
@@Baebae7777 Series 7 Guru. He teaches SIE and others too. Try to listen to his test taking tips videos
@@Baebae7777 I will be sending all good thoughts your way. YOU GOT THIS! I am not sure who else they used, but review all the SIE videos that I have out there. 😀
I always learn something new, when I tune in to one of your videos. Thanks. And your drawing does not suck 😅
So happy to hear you are learning new things! I am not sure about the drawings (or handwriting) though 🤣Thanks for watching!
Really GREAT videos. I passed the SIE yesterday. I passed it in the first try. Keep up the good work. Your videos helped me a lot.
CONGRATS! So proud of you. Happy to help you along the way. 🥳
I have mine on Friday, were some of these questions on the exam?
Each of these questions covers a topic that you can expect to see on the exam on Friday! We will be sending all good thoughts to you. YOU GOT THIS! 😀@@miguelhhernandez1606
I take mine in 2 hours too and my company had purchased me Kaplan. No offense but I can’t stand their approach of everything being locked unless you follow their exact method and order. Sometimes you want to have the flexibility to shoot for a mastery exam half way through or NOT take 3 exams for every single chapter it’s SO time consuming the way they do it - despite how much time I’ve already put into studying (one month full time) and yet I’ve been watching all of YOUR videos and find them so much better than Kaplan’s. So thank you! Wish me luck, 2 hours I start mine!!!! Eeeek
Good luck.
Man i love this lady, finally someone chill and nice to look at it💀💀💀
Thanks for watching 😀
Freaking gold. ❤ thank you
So glad you found it helpful. Thanks for watching 😀
Thank you Suzy.
You are welcome! Keep up the good work and thanks for watching 😀
Awesome video thank you! Taking the SIE in a month!
Thanks for watching! YOU GO THIS! 😇
Did you pass? How was it?
Thanks again for your help, just passed my Series 65 yesterday!
Just 1 question for you... Is an Investment Advisor that has 5 or less non -qualified clients allowed to set up a fund under $25 million AUM for flat fees only? No performance fees.. "catch up" or "carried interest" right?
That's wonderful news, congrats! Be sure to celebrate. I can't say for sure, since I am not a securities lawyer I can't for sure. For the exam only federally registered IAs can charge performance based fees 😀 Other than that, I would consult with a securities lawyer on this one.
On question #5, wouldn't answer choice 'B' also make sense. Although ETFs are negotiable, they are closely related to open-end management company's in terms of structure and operations.
The question is asking for the FALSE statement about an ETF, so the FALSE statement is "they never have a commission to buy or sell", for the test they ALWAYS have a commission to buy AND sell. The other three choices are all true, that includes choice B: ETFs are most like a closed end fund. Both ETFs and closed end funds trade in the secondary market...and ETF is much more like a closed end fund than an open-end fund. I do see where you were going there, but the test LOVES that securities that trade in the market ALWAYS have a commission on the transaction (even though that is not always true in the real world). GREAT QUESTION 😄Thanks for watching.
Don't pick the first tow answers then 5 and 6 where the first two answers. 😂😂 Lol. Really appreciate you doing this.
We are happy to help! Thank you for watching!
It’s not helpful when you answer the question before reading all of the answers! But great questions. Thanks!
I hear you, I try not to do that, but sometimes I can't help it. Sometimes I would rather your brain just remembers the right answer and when it is the very first one it can be hard for me to go on, but I will take your feedback into consideration. I also think this was the longest video I had made yet, so there was that too! I am glad you enjoyed it overall. Thanks for watching 😀
Sorry to say but if you just explain the answer and pick it then the confusion for us people still there. I think it’s better if you break down the questions and then answers that would help a lot. Thank you.
I am here to answer any questions you may have. I appreciate the feedback. You are right that sometimes I explain a question more than others, sometimes I do just present it more as just a fact to know. I do full explanations of everything in the prep course. Thanks for watching! 😀