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SIE Exam Prep Customer Accounts and Trading. 23 questions!!! Explicated.
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- Опубліковано 12 сер 2024
- • SIE Exam Regulatory Fr... is the next and final one!
TIME STAMPS:
00:00 Intro
2:16 Market orders
2:50 Stop orders
4:20 Limit orders
5:20 Where orders are placed in relation to the current market price
6:30 Day order versus GTC orders
7:15 Discretionary orders
8:44 Solicited versus unsolicited orders
9:10 Bid and ask
11:40 Broker or dealer capacity
13:45 Long and short positions. Opening and closing orders.
15:00 Naked or uncovered call versus covered call
16:04 Bullish versus bearish
17:08 Total return
17:48 Cash dividends versus stock dividends
18:53 Declared date. Ex date. Record date. Payable date.
22:18 Yield relationships
23:35 S&P 500, Russell 2000, Wilshire 5000
24:52 Settlement dates
25:58 Physical versus book entry
27:12 Treasury stock
28:10 Tender offers
28:50 Rights offering
29:50 Stock splits
32:48 Cash accounts
33:18 Margin accounts
34:37 Option accounts
35:54 Discretionary accounts
36:30 Wrap accounts
37:23 529 accounts
38:07 JTWROS versus TIC accounts
39:28 Corporate accounts
39:52 Trust accounts
40:10 UTMA accounts
41:11 Partnership accounts
41:30 Qualified retirement plans
42:04 RMD 72
42:30 Anti Money Laundering
46:35 Record retention
46:40 Confirmations and account statements
47:35 Holding customer mail
48:10 Business Continuity Plan
49:20 Cold calling
49:35 Know Your Customer (KYC)
49:49 Market manipulation
51:18 Backing away
52:27 Insider trading
54:27 Sharing in customer accounts
55:10 Exploitation of seniors
ua-cam.com/video/FzywRVsSu4g/v-deo.html is the next and final one!!
how do we print the pdf? where is the file located to print? thank you!
I failed the SIE by 1% on my first try, I used kaplan as my study guide.. def wished I would've used more lectures like these to learn instead of just only reading..
Damn that hurts. Sure you will make your mark next time!
I failed by 2%
Damn. That hurts for sure. While the hurt is fresh print the SIE content outline and do a personal debrief. Then take a few days to refresh and reset.
@@Series7Guru that's what I'm doing. I'm planning to take it in a week again.
I passed my SIE yesterday!! You're videos REALLY helped. Thank you!
Kudos on your first testing victory! The journey of 3 and 0 begins with 1 and 0!
What's your next testing victory? 6? 7?
@@Series7Guru 63 or 65 would be next since they don't require sponsorship. Which of those do you suggest?
I failed my first try this past week, and the day of I found your videos. Retaking the SIE next month, and your series has already made a world of difference! Thank you!
Damn. Wish you would have found us sooner. Glad the channel is making a difference. How did you find the channel?
@@Series7Guru I just searched SIE then scrolled until I found something that looked worth while. You were definitely it!
@@jessicagross6503 cool. The channel is moving up in search.
Dean, I am taking my exam this Sunday and found this extremely helpful. I love your attitude and approach to helping strangers pass this exam. I wish you nothing but the best.
Thanks for your kind words. Sending you good tesr vibes for today.
did you pass?
Hi Dean,i just passed the SIE today. Thank you so much.for the videos they really helped a lot.
Kudos on your SIE testing victory!
What's your next testing victory? 6? 7?
Always very gratifying when my videos contribute to test taking victories like yours
Which playlist do you recommend attacking I am testing on 3/18
Hi Dean you are seriously THE best! I am passing my practice exams and almost through each of your lectures having watched the explications first. THANK YOU so much for being such an undeniable help to all of us! Be well! Will be making a big donation as soon as I get my job contract :)
No donation necessary just make your mark.
I have taken this test twice and failed by 3 and then 2 points using Kaplan, just asked a coworker for some tips and she recommended you. I wish I found your videos sooner! You have helped me so much I take my next test this coming Monday!
You got this! Sending you good test vibes for Monday!
Thanks Dean for doing this. Your methods of understanding the material is very good. Thanks again!
Glad you found it helpful.
Thank you for the outlines! I take my SIE for the second time tomorrow (got a 68 the first time), and these were really helpful in finding out what sections I got low on.
I hope I come back and say that I PASSED! :)
Glad you found it helpful. You got this!
did you pass?
taking my test this saturday, wish me luck & keep up the vids!
You got this!
Thank you Dean, I took my Exam today and passed. I found you online while using Kaplan and you helped me so much!! Thank you again. Keep up the work
Kudos on your first testing victory! What's your next testing victory? 6? 7?
@Series 7 Guru Thank you, I have to take the 99 next month. I have been looking for your content regarding the series and can't find any.
@@Series7Guru I took my Series 99 a few months after passing the SIE, that was a success as well. I have introduced a lot of people to your channel. THANK YOU again,
@MrMeyeRoom kudos!! Thanks for the referrals!
Your content has been so helpful I take my test the 29th and feel much more confident than I did prior to seeing them
You got this. Sending you good test vibes.
I passed today! Can’t thank you enough, your content filled in holes and build upon the foundation my paid course with the Securities institute of America laid. I really don’t think I would’ve passed it I didn’t use your content to connect a few dots for me! Thanks a ton, I’m going to take a break for a few weeks and then I’m sure I’ll be back for my next test!
@@rachellewis7713 kudos on your testing victory!
Love these videos thank you! Taking my test soon hopefully we pass on the first try!
Glad you are finding them helpful
I did my SIE a month ago and I failed with a 69 and I have it again this Friday. I wish I found your lectures sooner
You got it this time! How did you find us?
@@Series7Guru my coworker told me to try UA-cam. I messed up on section 2 & 3 so I’m tryna to refresh my mind now
This lecture is amazing, very well explained! Thank you.
Glad you enjoyed it!
Taking mine today at 2 😬
You got this!
@@Series7Guru I passed!! Thank you for all your help!! Now it’s on to the 7
Fantastic! your material is invaluable!
Glad you are finding it helpful
I am a SIE candidate. and all these are Very Helpful.
Glad you are finding the explication helpful.
Still searching for your lectures on Secondary Markets
@@giftsforwomenatwork6177 ua-cam.com/video/kEoGI34sID8/v-deo.html
Looking forward to session 4. Thanks!
Coming soon!
great lesson Guru. I really enjoy watching your videos. If you can scroll down a bit slower so i can grab good screenshots. Thank you
You got it. Moving forward will slow the scroll.
Knowledge index is a very useful method to learn- thank you for creating this series. Question: T+2 was updated to T+1 for most domestic transactions?
Yes.
Excellent Video !! Thank You .
De nada
Thank you Dean! Very helpful!
You are welcome. This one target rich!
Dean, I have a question. In my studying material i get confused because in the sample questions i get both answers right:
Settlement for equity options is
A) within 1 business day
B) T+2
Option contracts settle T+1. If the option contract is exercised the resulting stock trade is T + 2.
Definitely helpful
Glad you found it helpful.
Very helpful explication
Glad you found it helpful
What's the best study guide? How many of hrs of study does the exam take?
Kaplan. 15% discount code at checkout is Guru15. Hours vary depending on the test takers.
Dean can you go over clearing form and introducing form? Is the clearing form in charge of all trades and complaints? Or what is the objective of the introducing form..
To clear a trade a firm needs an order department, a purchase and sales department, a margin department and a cashiering department. Firms that have all those departments can clear trades and are called clearing firms.
Some firms outsource the clearing of their trades to a clearing firm. They introduce their customers to the clearing firm. They are called introducing firms.
My firm used a clearing firm. My firm not interested in paying for the infrastructure to clear trades. My firm just wants to get paid for transactions either commissions or mark ups or mark downs and leave the back office to the clearing firm.
@@Series7Guru thank you Dean for the clarification!
Could we possibly get your version of the PDF with the annotations from the video? Would be extremely helpful
Sorry, I am not set up to do that.
is there a section for explication yet?
Yes in the playlist
When comes to investment strategies. Do u look at tax bracket more or credit score..
Tax bracket
hello! what does the BLISS and SLOB stand for?
Watch the lecture on types of orders.
ua-cam.com/video/yTcgNVKtzec/v-deo.html
Explications are NOT lectures. The Series 7 Exam lecture playlist should be watched before the Series 7 Content Outline playlist!!!
It is a memory aid to remind us about orders placed above the market Sell Limits and Buy Stop(s) and orders placed below the market Buy Limits and Sell Stops.
In each of these videos, you say “This is just the explicated content but I go into further details in the lectures.” I can’t find these lectures on youtube - are they paid content somewhere?
The lectures are in the SIE playlist after the explications.
Love the videos but Good Lord there are way too many ads. Keep up the great work tho.
I hate the ads too. I pay Google $14 a month to make them disappear. You can do the same. How long to take all your tests? Five months? That would be a $70 investment for commercial free viewing. Ot you could consider booking a tutoring session. Those sessions are commercial free too.
Hey there, Where can i locate the video on orders? this is really giving me hope
ua-cam.com/video/yTcgNVKtzec/v-deo.html
where is the pdf form?Anyone please tell me ,thank you !
You can print the pdf at the FINRA website.
MSCI Índex?
Never had anyone on debrief say they encountered MSCI
Are RMD's 72 or by April 1 in the year the person turns 73?
Secure Act made it 73
@@Series7Guru i have had practice questions with both answers “72” and “year turning 73”. Is one correct than the other? Or will it be made in the question if it was after the secure act?
@@GenoveseKids the answer on the test is 73
@@Series7Guru thank you. Taking it this afternoon. Hoping for the best. Your videos have been awesome.
@@GenoveseKids sending you good test vibes! Circle back to share your testing victory.
Is this different from your other customer accounts lecture?
Yes.
@@Series7Guru sorry for all the questions, do you by any chance know if margin accounts are tested on the SIE? I have my exam this Friday and I'm trying to narrow my focus to the things I need