SIE Exam Prep Series 7 Guru Equity Securities EXPLICATED Practice Questions

Must watch Equity Lecture • Series 7 Exam Prep Equ...
Time stamps
00:00 Intro
01:17 Authorized is the maximum number of shares a corporation may issue under terms of its charter
02:21 Issued is shares that have been placed with investors
03:28 Treasury stock are shares that have been purchased by the corporation. Retired into the treasury. Treasury stock pays no dividends and has no voting rights
04:50 Issued stock less treasury stock - outstanding stock
05:25 Only common stock has voting rights
06:14 Preferred has a fixed or stated dividend. Preferred stock is a fixed income investment vehicle
07:25 Rights are short term and at issuance exercisable below the current market price of the common
08:46 Warrants are long term and at issuance are exercisable above the current market price of the common stock.
10:00 Used as a sweetener in bond or prefe3rred stock underwriting
10:35 Common stock is the most junior security in the liquidation of a corporation
11:04 Preferred stock is senior to the common stock of a corporation and junior to the bonds in the liquidation of a corporation
11:36 Owners or holders of common stock have limited liability
12:38 Control stock is the common stock held by control persons. Control persons are officers, directors and principal stockholders of the corporation. Control persons are always subject to volume limitations of Rule 144
15:14 Rule 144 volume limitations are 1% of the outstanding stock or the average of the last four weeks trading volume whichever is greater
16:27 ADRs have currency risk!
17:50 When given the conversion price establish conversion ratio
20:35 Cumulative or block voting protects minority or smaller shareholders
21:55 Current yield =annual dividend divided current market price of the stock
24:27 5 for 4 stock split

[@Series7Guru]

Must watch Equity Lecture ua-cam.com/video/Ceozzs5uiPY/v-deo.html

[@SantaCruz1094]

Been studying my SIE through Kaplan, and all of your material that you’ve created has been tremendous help. That’s even an understatement. All while being free here on a UA-cam is even more of a blessing. Very thankful for your time and effort to help us students trying to become something great in life and in this industry. Thanks 🙏🏽

[@Series7Guru]

Thanks for your kind words. Always very gratifying when my material is found helpful by test takers like you.

[@alinazeinutdinova9746]

Daniel and creator of this channel, can i ask you? I also bought a package from Kaplan and watch these amazing videos. Please tell me, are the questions in the exams the same as in Kaplan's practice and the same as what we are discussing here? Or completely different? I am an English-second language and there are moments that I find it difficult to understand and or remember

[@Series7Guru]

@@alinazeinutdinova9746 these questions are from me. Not Kaplan but there are Kaplan questions on my channel. They are labeled as Kaplan questions

[@Freiclips]

I take my SIE in a week im so ready to take it and get it over with

[@Series7Guru]

You got this!

[@justinne9535]

Just want to say how much I appreciate your explications ❤️ they are soo helpful. Inch by inch series 7 will be a cinch! I have a long way to go but I'm glad to share this journey with you.

[@Series7Guru]

Glad you are finding them helpful. Always very gratifying to help people on their testing journey. YOU GOT THIS!

[@anthonybrown7200]

I missed it by 1 point WITHOUT your help! Your explicit youtube videos will no doubt push me over the top; thank you in advance.

[@Series7Guru]

I am sure we will find you the point or points you need to make your mark! You got this!

[@naomionlynaomi893]

Thank you for these questions! You are awesome.

[@Series7Guru]

De nada

[@edgarromero6409]

I take my second attempt for the SIE on Sept 11, thank you for your videos they really help a lot

[@Series7Guru]

Sure you will find the extra points you need to make your mark! Sending you good test vibes.

[@Mark-sn6kh]

Take my SIE july 13th. Given Training Consultants for material. Your videos definitely help! A debt securities video would be awesome.

[@Series7Guru]

Thanks for the input. Will do.

[@ellll03434]

I think the reason you got 2.9 instead of 2.8 on the current yield question is because you added the dividend to dollar MP when you divided*

[@njperuviankid]

Thank you again sir!

[@Series7Guru]

De nada

[@leslieduran1738]

Thank you :)

[@Series7Guru]

De nada

[@rosszaf7597]

Hey Dean where can i find your email to send you some of the questions i had mentioned last night?

[@Series7Guru]

[e-mail]