SIE Exam Prep Investment Risks 33 Questions!!! EXPLICATED

Regular Way Settlement is now T+1    • SIE Exam Prep Customer Accounts and Tradin...   is the next one Time stamps: 00:00 Intro 1:32 Common stock 2:40 Preferred stock 4:00 Rights 4:38 Warrants 5:30 ADRs 6:14 Order in liquidation 6:52 Statutory versus cumulative voting rights 7:48 Convertibles 8:18 Control stock. Control persons. Volume limitations of Rule 144 10:33 US Government securities 11:13 GNMA 11:55 Corporate bonds 12:44 General Obligation and Revenue Municipal Bonds. 14:13 Money market securities 16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return. Relationships of nominal yield, current yield, yield to maturity and yield to call 17:43 Credit ratings 18:14 Call provisions. Call risk. 19:36 Short term bonds versus long term bonds 20:19 Inverse relationship of interest rates and bond prices 20:53 Negotiated versus firm commitment underwritings 21:42 Options 24:40 Opening and closing transactions 27:05 Uncovered call versus covered call 27:38 American style versus European style exercise 28:14 Option Clearing Corporation Disclosure Document 29:19 Open end funds versus closed end funds 30:03 UITs 30:28 Variable annuities 32:13 12b-1 fees 33:29 NAV 34:09 Breakpoints. GOOD! 34:50 Letter of Intent 34:29 Breakpoint Sale. BAD! 30:36 529s 37:24 ABLE accounts 38:48 Direct Participation Programs (DPPs). Partnerships. 39:42 REITs 41:29 ETFs 42:09 ETNs 43:40 Credit risk 43:57 Currency risk 44:13 Inflationary risk 44:44 Interest rate risk 45:05 Liquidity risk 45:20 Systematic or market risk 45:50 Non systematic risk or selection risk