Intro to the SIE Exam (Part 1) Regulations, Equities, Bonds & More!

SIE exam overview part 1 Podcast episode 0:00 intro major securities regulations (Securities Acts of 1933, 1934, etc.) and their key provisions - Detailed explanations were provided on different types of securities including stocks, bonds, options, and their characteristics - Math concepts related to securities pricing, yields, and options were demonstrated - Practice questions were reviewed to show how concepts may be tested on the SIE exam Topics 0:00 - Introduction & Purpose of the Video 2:15 - Understanding the Investment Company Act of 1940 4:30 - What Are Investment Companies? (Mutual Funds, UITs & More) 7:00 - How Annuities and Mutual Funds Work (Simplified Explanation) 9:15 - Face Amount Certificates – Are They Still Relevant? 12:45 - Unit Investment Trusts (UITs) Explained 15:20 - Fixed vs. Participating UITs – Key Differences 18:05 - Open-End vs. Closed-End Management Companies 20:40 - Mutual Fund Structure & How NAV is Calculated 23:00 - Why Mutual Fund Fees Matter (Expense Ratios, Sales Charges, & More) 26:10 - Mutual Funds vs. ETFs – Key Differences 29:30 - Order Types: Market, Limit, Stop, & Stop-Limit Orders 32:15 - Margin Accounts: Initial & Maintenance Margin Requirements 35:45 - Regulation T & How Margin Trading Works 39:00 - Call & Put Options – A Beginner-Friendly Breakdown 42:30 - Max Gain & Max Loss for Calls & Puts (With Examples) 45:50 - Index Options & How Cash Settlements Work 49:00 - Regulatory Compliance: Insider Trading & Information Barriers 52:15 - Regulation D & Private Placements – Who Qualifies as an Accredited Investor? 55:30 - UGMA & UTMA Accounts – Tax Implications Explained 58:45 - Understanding Economic Cycles (Expansion, Peak, Contraction, Trough) 1:02:00 - Federal Reserve Actions & Their Impact on Markets 1:05:30 - Final Exam Prep Tips & Next Steps for SIE Success Securities Regulations es #sieexam #sieexam #finra Capital Advantage Tutoring channel (#1 channel for SIE ands Series 7 Exam ) on Youtube over 300 videos to help you pass the FINRA and Nasaa exams Give Achievable a try (FREE TRIAL) https://achievable.me/#a_aid=capital-advantage If you are looking for a Series 7 top off tutor please visit https://www.series7exam.org Or check out Michael Weiss ( great tutor ) https://www.series7examtutor.com For a 15% discount on STC materials https://www.stcusa.com/referral/capitaladvantage/ Try Kindle Unlimited for free ( 30 days) https://amzn.to/3zRo9hA Join this channel to get access to perks: https://www.youtube.com/channel/UCBD1Olrt3__F_-sjOeJNb4Q/join Series 7 for Dummies--https://amzn.to/36lmX7r Series 7 for Dummies Questions -- https://amzn.to/352vDiK Series 6 questions-- https://amzn.to/2ToH01j Series 6 book by Wiley -- https://amzn.to/2wpInn9 Michael Lewis ( love his take on finance ) Liars poker https://amzn.to/34J6MQH Flash Boys https://amzn.to/34zVwFU Money Culture https://amzn.to/2JSV6CQ PANIC!! https://amzn.to/2Nlvd0w #Series7exam #sieexam #finra #capitaladvantagetutoring #series7whisperer Ken Finnen Chatham NJ