75 SIE Exam Questions - SIE Final Exam: Learn The Topics You Need To Know To Pass Your Exam!

Do you want to PASS the SIE EXAM? If so, THIS is a great video for you. Suzy made this video based upon a student request. This is the LONGEST video to date she has made! Let us know if you have a topic you would like to see Suzy cover in the comments to this video! This Questions of the Week video covers an ENTIRE SIE FINAL EXAM! That is 75 Securities Industry Essentials (SIE) questions for you! You must feel confident in the topics presented to PASS this exam. To check out the SIE course: https://passmasters.com/securities/sie/ On of the hardest parts about the SIE exam is that it expects you to know a lot of concepts! It takes time and effort to pass this exam. We believe in you and know that YOU GOT THIS! Suzy also has courses for those of you studying for your Series 6, 7, 63, 65 and 66 exams! Check out all our offerings here: https://passmasters.com/securities-exam-prep/ Let's see what Cherie had to say about Suzy's SIE course: "I had taken the SIE twice and “barely” failed so it was obvious something was not clicking with how I was learning and absorbing the material. I had honestly given up hope that I would ever pass. I purchased this course as a hail mary after watching a couple Youtube videos and I am so happy I did! I just passed the SIE on my third attempt and I am convinced it had everything to do with this course! Suzy is wonderful, I felt like I had a private tutor that really cared about my success. I am not sure if she knows but Suzy is my friend for life! lol. To anyone else that has had trouble passing the SIE, do not give up and get this course!!! You can do it 🙂" Thanks so much for your kind words Cherie, I count all my students as friends! Please let us know how we can help you on your journey in the securities industry. Just ask in the comments. #sieexam #sietestprep #FINRAexams #sieexamprep Contents of this Video 0:00 - Intro 0:20 - Question 1 – Regulation S-P 1:03 - Question 2 – Treasury best for inflation 1:39 - Question 3 – Depression 1:58 - Question 4 – Types of 529 plans 2:28 - Question 5 – Best return for comparison purposes 3:00 - 6 – Risk when money is not invested 3:41 - 7 – Sunk costs 4:04 - 8 – $5,000 cash deposits over several days 4:52 - 9 – Life insurance 5:34 - 10 – Stock splits effect on an open order to buy 6:59 - 11 – Political uprising risk 7:19 - 12 – Synonym for carrying broker/dealer 7:45 - 13 – Shelf registration (today, the shelf is good for 3 years!) 8:28 - 14 – Not an unsystematic risk 9:12 - 15 – Options 9:48 - 16 – UITs 10:17 - 17 – Regulation BI 10:57 - 18 – Loan 11:31 - 19 – Communication Records 11:58 - 20 – ADRs 12:48 - 21 – What activities are allowed once an application is submitted 13:11 - 22 – Unsecured short-term corporate debt 13:47 - 23 – Markets 14:27 - 24 – How long to reapply without having to retest 14:54 - Maintaining Qualification Program (MQP) 15:32 - 25 – Client buys stock out of b/d inventory 16:23 - 26 – Measurements of market sentiment 16:56 - 27 – Annuity payout options 17:30 - 28 – ETFs 17:56 - 29 – Stock dividends 18:31 - 30 – New muni bond disclosure document 19:03 - 31 – HSAs 19:29 - 32 – Right of cumulative preferred stockholder 20:26 - 33 – Risk related to failure of a company 20:45 - 34 – Complaints 21:27 - 35 – Business Continuity Plan 22:09 - 36 – Bond Rating 22:43 - 37 – Dividend 23:02 - 38 – Program Disclosure Document 23:39 - 39 – ESA funding date 24:09 - 40 – Electronic communications 24:41 - 41 – Mutual fund dividends 25:13 - 42 – Fed securities law that regulates the secondary market 25:53 - 43 – Portfolio of callable bonds 27:16 - 44 – Proxy statement 27:36 - 45 – Trust created during maker's lifetime 27:51 - 46 – Rumors via social media 28:17 - 47 – ETNs 28:42 - 48 – A security 28:59 - 49 – Margin maintenance requirements 29:40 - 50 – Accredited investor 31:17 - 51 – Hedge a portfolio against market risk 31:54 - 52 – Risk an importer should be aware of 32:13 - 53 – Highly leveraged company 32:30 - 54 – Statutory disqualification 33:02 - 55 – Unregistered persons 33:24 - 56 - CBOE fingerprint based background checks 34:24 - 57 - Hardest type of business to raise capital for 34:52 - 58 – SDNs 35:47 - 60 – Roth IRA 37:06 - 61 – Trusts 37:54 - 62 – Cost basis on inherited asset 38:50 - 63 – Hedge funds 39:08 - 64 – DPPs 39:25 - 65 – PFOF 40:08 - 66 – Form filed to register 40:36 - 67 – Institutional trades 41:27 - 68 – Long a call most make 41:35 - Hardest part of the SIE exam - WHIPLASH 42:52 - 69 – Bank CD risk at maturity 43:46 - 70 – Not an insider 44:41 - 71 – Not an equity security 45:01 - 72 – Equity security best for income 45:55 - 73 – Debt of foreign countries 46:08 - 74 – Who oversees the securities industry 46:39 - 75 – Non-cash compensation 47:00 - How did we do? 47:11 - SIE Exam broken down into four sections 47:22 - Topics within each section 47:45 - Make your CORRECTIONS to PASS 48:23 - Hardest part of the SIE EXAM 49:00 - THANK YOU