Series 9 Exam Tomorrow? This Afternoon? Pass? Fail? This 60 Minutes May Be the Difference!
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- Опубліковано 23 вер 2024
- / series24 is our sister reddit community for Sales Supervisors and General Securities Principals
Time stamps:
1:14 Types of accounts
1:34 Institutional accounts
1:55 Fiduciary accounts
2:20 Discretionary accounts
2:59 Complete description of an option contract is the SERIES!
3:32 Limited power of attorney versus full power of attorney
4:34 Not Held order is NOT a discretionary order. Decisions about time and price are not discretionary.
5:00 Opening an options account
5:58 Date of delivery of the ODD
6:30 Investment objective: hedging or speculation
7:22 Approval of an options account
8:15 Closing or offsetting transactions if the option agreement not returned in 15 days
9:13 Uncovered options
11:12 Level of options approval
12:00 Anti-Money Laundering (AML)
12:23 Bank Secrecy Act
12:45 Currency Transaction Report
12:50 Customer Identification Procedures (CIP). OFAC (office of Foreign Asset Control)
13:43 Suspicious Activity Report (SAR)
13:55 Red flags
14:00 Series 9 is NOT a Series 4
14:20 Series 9 can't approve Retail Communication or Option Templates
15:14 Capping and pegging
15:45 AML officer
16:26 Customer suitability
17:38 Regulation BI
18:54 Option positions
27:03 Margin accounts
27:15 Reg T is 50%
27:24 Minimum is $2,000 or 100% of the purchase price if under $2,000
31:11 Initial margin for uncovered option
32:04 Minimum for uncovered option
32:00 Pattern Day trader
32:30 Customer complaints
34:12 Record retention for complaints is 4 years
34:55 Complaints filed quarterly unless......
34:47 Cancel and rebill
35:08 Error account
35:49 Large position reporting
37:20 Prohibited activities and trading abuses
39:09 Order information
39:45 Contrary Exercise Advice
40:53 Stock splits and stock dividends
41:43 Assignment and settlements
43:43 Retail communications
45:10 Option worksheet
46:30 Option strategies
46:45 Spreads
49:40 Series 4 duties and Series 9 are not Series 4
52:00 Synthetic options
53:00 Straddles and combinations
53:46 Strangles
54:16 Butterfly spread
55:35 FLEX options
56:10 VIX options
57:26 Cease trading and expiration
57:44 Cabinet trades
58:10 Fast market
58:20 Trading halts
59:00 Tax rules
59:48 Potpourri
Join our sister reddit community for Series 9/10 and Series 24 www.reddit.com/r/Series24
Passed my Series 9/10 today! Thank you Dean!!!! Your content is amazing in preparation! I now have in total my Series 24, 9, 10, 7, 63 & 65 and have used your series content exclusively for every one of them and passed my first time on all 6 exams!! Dean you are a true legend in my book and I will continue to send folks your way for all of their FINRA exam prep needs!
Kudos Sales Supervisor!
Always very gratifying when this channel contributes to test taking victories like yours
Congrats!!! What material did you use?
@@randytoledo1976I used Kaplan
I just passed my series 9 today and I watched this video and tons of your other ones as well. I’m super thankful for your channel and now I’m onto the series 10, so any new content is appreciated!
Kudos!!!
I passed my Series 9 on Monday, after watching this that morning during breakfast! Also watched a few of your Series 7 options videos to review the basics (been a few years). Thanks again for both this and the Series 10 videos, which I also passed a few weeks ago.
Kudos Sales Supervisor!
Passed my 9 today. Thank you for your videos they were so much help. My test location was an hour away so I drove there listening to this video the whole time right before my test. Your other videos helped alot as well with mathematics for option strategies. Next is the 10 for me and I will be watching your videos again soon.
Kudos on your Series 9 testing victory! One more and it will be kudos Sales Supervisor!
Passed my 9 today! Listened to this on the way to the test, it helped refresh a LOT! THANK YOU!
Kudos Sales Supervisor!
Hi Dean, I just passed my 9. I studied with STC and watched all of your series 9 related videos. I will say, your instruction was invaluable! You’re a great instructor, thank you!
Kudos!!! Always very gratifying when this channel contributes to test taking victories like yours
Passed my 9 today 2 years after your s7/s66 content. Always on the first try. These videos are amazing prep for instant recall on exam sits. Keep it up!
Kudos! Next testing victory the 10?
@@Series7Guru yes sir!
Dean I passed both the 9 and 10! Just passed the 9 today and I can say with certainty you helped me a ton on both exams. Thank you thank you thank you!!! I wish your channel would have existed when I took the 7 and 63. I recommend your channel to everyone I know who is in licensing.
Kudos Sales Supervisor! Always very gratifying when this channel contributes to test taking victories like yours.
Thanks for the referrals!
Just passed my 9 yesterday! Thanks for your videos, they got me through my 7 and 9/10.
Kudos Sales Supervisor! Always very gratifying when my channel contributes to test taking victories like yours.
Your videos helped me pass the Series 10 last month, and then recently, the Series 9! Wouldn't have been possible without the practice exams you run through and the 60-minute recaps! Thank you for all the content you publish, Dean!
Kudos Sales Supervisor!
Always very gratifying when my videos contribute to test taking victories like yours.
Thanks you so much for the super chat.
Just passed my Series 9 today. The reviews and explications are extremely helpful to make sure you're understanding the material. Here's a heartfelt THANK YOU, Dean, for your hard work and awesome content!! Our testing center reps tell everyone about you. As do I!
Kudos Sales Supervisor!
Akways very gratifying when this channel contributes to test taking victories like yours
Just passed my Series 6 and now onto my 63! I listened to you videos for both my SIE and 6 and got some valuable information!! Thanks so much!
Kudos on your past testing victories and your next one!
Just passed my Series 9 after listening to this video an hour before the test! Thank you @Series7Guru ! I have request. Could you make a separate playlist for Series 10 exam, please? This playlist is extensive and has 50 videos to go thru. It would be nice to have a separate S10 clean and exclusive playlist to watch while preparing for the exam. Thanks again for your help and videos!
Good suggestion. Been meaning to do that.
@@Series7Guru that would be fantastic! Thanks again 🙏
Great 60 minute review! Touched on things I had not heard / seen in my studies for quite some time. Thank you and well done, sir!
Glad you found it helpful
HI Dean! I passed my 9 this morning! Watching this video was SO helpful and helped me pass! Thanks for everything you do!!
Kudos! 10 testing victory next?
Thank you Dean!! This was super helpful !! Just passed my series 6 this morning!!!
6 followed by 9?
@@Series7Guru I meant to post this on the series 6 60 minutes. :)
Hi Dean, I passed my 9 today!!! Thanks to your help as always. I’ve been watching your videos since I took the SIE. They’re very helpful! Thank you!!
Kudos! 10 up next?
Yes! Trying to get done before the end of the year so I’ll give myself the weekend to rest before I get into it. Nervous about the amount of questions!!! Seems long.
Took the series 9 today and passed!! Watched this video a couple of hours before , it was really helpful!!! Thank you.
Kudos on your Series 9 testing victory!
Always very gratifying when this video contributes to test taking victories like yours.
I also just passed my 9. Your recaps are fantastic and I know that along with everyone else on here that are truly a guru and we appreciate everything that you do. Thank you Dean
Kudos on your Series 9 testing victory! 10 next ?
Always very gratifying when my videos contribute to test taking victories like yours.
@Series7Guru
I took the 9 today, and passed! Thank you so much for this content. There were definitely a couple questions on today’s test that I was able to get correct because of this video. I am officially a licensed principal! 😁
Kudos Sales Supervisor
Passed today! Thank you for the content, had to drive 4 hours to take it but got it done😎 listened to this on the way!
Kudos Sales Supervisor!
Passed my 9 today 🎉 Thanks for all you do !
Kudos! Do you need one more testing victory on the 10? or are you now a Sales Supervisor?
@@Series7Guru The 10 is up next !
I listened to this video morning of my exam and I passed S9 today… Thank you, Dean!!! Now onto S10 😅
Kudos!
Always very gratifying when my videos contributes to test taking victories like yours
Thanks so much Dean I watched a lot of your videos and I passed my 9 today!!
Kudos! Always very gratifying when my videos contribute to test taking victories like yours.
I just passed my S9 with your help! thank you very much
Kudos! Series 10 next?
Can you help with this question I don’t get how they got the value even with the answer.
“An investor writes 1 XYZ 280 put at 16.65. If the investor makes a closing purchase at the put's intrinsic value when the stock is at 265.25, he realizes a gain of”
Answer
The investor's opening sale at 16.65 and closing purchase at 14.75 resulted in a difference of 1.90 for a total gain of $190.
I’m not sure how they got the 14.75
A 280 put contract with the current market price down at 265.25 is in the money or has intrinsic value of 14.75.
Memory aid is PUT DOWN
I passed my 9 today! Thanks was perfect for the hour right before go time
Kudos! 10 next?
Always very gratifying when this video contributes to test taking victories like yours.
@@Series7Guru yes sir! Start studying today. Already watched your exam questions on 10.
Hi Dean - listened to this on the way to taking my 9 and PASSED! Any chance you will do a full test for the 10 soon?
Yes, I had it done. Then after recording had the wrong screen. 2 hours I will never get back. Take 2 soon. When is your test date? Thinking a couple weeks. Kudos on passing your 9! One more testing victory to go!
@@Series7Guru thank you Dean!! I am thinking of scheduling the last week of December!
Hi Dean, this is a great video, I am taking my Series 9 next week, do yo have any additional videos regarding the Series 9? Thanks
Series 9 and 10 General Securities Sales Supervisor Exam: ua-cam.com/play/PLK1IazV_JQbE1eUpnZnmM58m2WvjFBGRS.html
Passed mine today! Thank you!!!
Kudos! 10 next?
Huge shout out to Dean! I just passed both the 9/10 & these videos were instrumental.
Kudos Sales Supervisor!
Hey Dean!! Just wanted to let you know that I DEFEATED the dragon today!! (S7) thank you for all of your instrumental help in understanding with this. It is forever appreciated!!
KUDOS Dragon Slayer! What's your next dragon? 63? 66?
Will be onto 63 next!
And thank you so much!!
Thank you for this Dean!!!🤙🏽🤙🏽
De nada.
I failed with a 65 I feel like the Kaplan q bank was lacking I was scoring high 80s and 90s not sure where to go from here
Damn. That hurts for sure. Need another vendor. A different voice. Watch this ua-cam.com/video/RbkE6AnnpT8/v-deo.html&si=wrbD88-hu7am2oZr
@@Series7Guru I’m gonna try training consultants, do you have any discount codes available?
Passed the 9 today !! Now just need to take down that Slog they call the 10 😤😤
@juanjon915 kudos!!
Thanks!
Kudos! Thanks for the superchat!
Passed my Series 9 today!!!
Kudos on your Series 6 testing victory! 63 and 65 next? Or just 63?
@@Series7Guru Series 10 next. 😊
Do you know any video channels that explain like you but is for the CFP exam?
I do not.
69% Today last question timed out on me. A no brainer; (complaints not filed to to SEC) but didnt let me click I barely moved my mouse over the answer too. Yeah it stings…
BUT seriously a huge thanks to you Dean! I re-learned spreads and options strategies all thanks to you!!
Damn. That hurts for sure. I am sure you will get it next time.
Hey Dean they keep telling me to look out for “regs” for the 9 , are there any specific regs i need to look out for on the exam ?
Test takers make the mistake of thinking it is more than it is on option strategies than it is suoervision even more so than regs.
@@Series7Guru kind of confused on what to look out for now :/
@juanjon915 sorry. There are no shortcuts. Watch do a practice test with my commentary.
Taking the 9 tomorrow 😮
Sending you good test vibes
I passed y'all. Thank you Dean.
@@hhhhoooojdjd Kudos!
Thanks a ton for this vid
De nada
T-Minus 1 hr before my test!
Sending you good test vibes! Be confident in yourself and most important be confident in your answers.
@@Series7Guru PASSED MY 9 DEAN! On to the 10
@@EliGutie Kudos almost a Sales Supervisor! Lol.
Passed today
Kudos! Series 10 next testing victory!
Thanks for everything dean! Just passed my Series 6! You’re the best 🫡
Kudos Sales Supervisor!