SIE Exam FREE Kaplan Practice Test 3. EXPLICATED. Hit pause, answer, hit play reveal answer.
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- Опубліковано 6 лип 2024
- • SIE Exam FREE Kaplan P... Next SIE Exam Practice Test
Time stamps:
00:00 Intro
00:50 Closed end fund
1:55 Primary versus secondary market
2:45 Convertibles
3:45 Record retention
4:45 Purchasing power risk
6:24 Notification
7:15 Called to active duty
8:25 Record date
10:20 Systematic risk
11:30 Long calls are a choice to buy the stock and are bullish
13:00 U-5
13:54 Financial risk
14:30 Statement of additional information
15:22 Cooling off period is a minimum of 20 days
17:00 Tenants in common
18:35 Residual right of shareholders
20:45 Benefits of common stock ownership
21:45 Selling short
23:28 Closing out for a gain or loss
24:19 Required minimum distributions (RMD)
25:40 Types of DPPs
27:00 Business Continuity Plan
29:26 Account fees
30:22 CTR not SAR. I missed this one. I protest. lol
31:54 Short an option contract
32:55 Breakpoints
34:43 Credit ratings BBB
35:10 Tenants in common
36:28 GNMAs are fully taxable
37:00 UTMA/UGMA
38:07 Calculate the percentage sales charge
39:10 Revocable living trust
40:15 Blue sky or state registration
41:30 Statement of additional information (SAI)
42:00 Fed funds rate
42:55 Minimum in a new margin account is pay in full or $2,000
43:22 Outside business activities
44:55 ETFs
46:20 Fiscal policy
48:10 Inverse relationship of interest rates and bond prices
48:67 Secondary market
50:03 Closed end fund
50:24 Frontrunning
50:42 GDP
51:50 Open end versus closed end
54:18 Long term capital gain
55:10 Bond at par
55:48 Proxy
57:42 CALL UP or PUT DOWN
50:09 improper use of customer securities
1:01:28 Long 30 put for 3
1:03:09 Reverse split
1:04:03 Broker/Dealer
1:05:00 '34 Act created SEC
1:05:57 Clearing firm
1:07:35 Recommendation
1:09:00 Statutory disqualification
1:10:11 Annuities
1:11:13 Gift or gratuity maximum is $100
1:11:50 Code of Procedure (COP)
1:13:30 Call contracts
1:14:04 Selling short
1:15:05 Code of Conduct
1:16:00 Primary transaction
1:16:43 Wash sale
1:17:48 Variable annuities
1:18:07 Defined contribution
1:18:55 Prime broker
1:19:54 2 years of jurisdictional retention
1:20:22 Depreciation
1:21:1 Letter of Intent (LOI)
1:24:05 CALL UP or PUT DOWN
1:25:24 Agency capacity
1:26:17 Yield price relationship
Here is the link to SIE Exam Practice Test 4 ua-cam.com/video/pUbSkxbx9vc/v-deo.html
I really appreciate hearing all your thoughts as you assess the questions, it really helps with the blind spots in the nuances of information. I should be taking the test any day now.
Sending you good test vibes. You got this!
Took my SIE for the first time yesterday and passed!! Thank you for all your help, will be using your videos to study for my 6 as well!
Great job! 1 down. 2 to go.
I am taking my SIE tomorrow. You're explications have been really helpful. Fingers crossed
Sending you good test vibes! Circle back with your testing victory update.
I take my test next month! I watch you everyday thank you for everything man. I'll update on my results!
Thanks for your viewership. You got this!
Thank you for teaching me. I have enjoyed studying for my sie with you. I will be studying what else you have offer in your other subjects. Before I take the exam I want to be sure I am retaining the information. Thanks again.
Phyllis
Passed my SIE last week and can’t thank you enough man
Kudos on your first testing victory! What's your next testing victory? 6? 7?
Thank you very much!!!
Thanks for all you do Dean. Just passed my SIE on to my s7
Kudos on the first of your three testing victories!
Always very gratifying when I contribute to testing victories like yours.
Thank you great videos!
De nada
@Series 7 Guru - sitting for SIE this afternoon, I'm really confident thanks to you.
-Thanks!
That is great to hear because confidence is so important to making your mark. You got this!
@@Series7Guru Uncle Dean, mark up another PASS please;
-thank you, Jack (FL).
Kudos!
Just passed SIE, surprisingly had 3 questions on hedge funds which I didn’t really focus during my studies. But your videos were a tremendous help…thank you sir!
Kudos on your SIE testing victory! What's your next testing victory? 6? 7?
@@Series7Guru yes 6, then 63
Thank you so much
De nada
Thank you I do enjoy learning with you . I will go to the next study questions s with you. Later
Glad you are enjoying our time together
Thank you, i am enjoying studing with you for my sie exam. . Iam going to go into another one of your lessons, to see what else you have to offer. I want to make sure i retain this information. Before i take my sie exam.
Thank. You.
Phyllis 1:30:20
De nada
Thank you so much for your materials!!! I just passed my SIE in one try!! Onto the S7 in 2 weeks…. Any tips
Kudos on your SIE Exam testing victory! The journey of 3 and 0 begins with 1 and 0. Always very gratifying when my SIE materials contribute to the very first testing victory like yours.
Thanks Dean for the awesome questions. I do have a quick question regarding #54. BID should represent the highest price at which someone is willing to buy the security, so should the answer be B instead of A? Would you please clarify? Thanks a lot.
The BID is the best price that someone can sell the security for at the time of quote. Market makers BUY at the BID Customers SELL at the BID.
Would be amazing if you could do the same thing but for the 24
I will but it three or four weeks. There are Series 24 practice questions in the 24 playlist. Have you check those out?
Got a really stupid question. Are questions like these going to be on the test. I mean is the format of the questions going to be like these?
Yes
Hi, I don't know if you'll see this but has the answer for #58 changed at all? I know in my TC textbook it says DUI is under statutory disqualification so I'm kind of confused how that's the right answer for that question. Maybe I'm reading it wrong though, thanks!
Depends on the state. Not testable
Depends on the state and whether a felony. Not testablr.
@@Series7Guru thank you!
@kaitlyng7850 de nada
For #58 for some reason I thought DUI's play a big role
They do not.
A believe what you’re thinking of is a *felony* conviction DUI, #58 is only a fine & probation
Edit: I think form U4 would include this disqualification
Hi,
Are the questions similar to the exam?
Yes.
@@Series7Guru Thank you
Would you say exactly the same?
The reason why I'm asking is, I'm taking both sie and series 6 in a month and 14 days. So any tips would be great.
@@yehudacohen3935 yes but learn the concepts NOT the questions.
@@Series7Guru thank you
Any specific questions/materials I should be focusing on for the sie?
@@yehudacohen3935 the first five videos in my SIE playlist