SIE Exam Tomorrow? This Afternoon? Pass? Fail? This 60 Minutes May Be The Difference!

REGULAR WAY SETTLEMENT IS NOW T + 1! and RMDs are now 73 More great videos for close to test time    • SIE Exam Mighty Ninety - 90 Minutes for th...      • SIE Exam Prep - Test Taking Tips, Tricks, ...      • SIE Exam Prep Investment Risks 33 Question...   RMD is now 73! Time stamps: 00:00 Introduction 1:00 CAPITAL MARKETS 1:26 Primary versus secondary. 33 is the prospectus or paper act. 34 created the SEC and is the people and places act. 2:12 Private placements of unregistered securities 3:10 Accredited investor definition 3:30 Shelf registration 4:59 Secondary markets 5:00 NYSE is an auction order driven market 5:20 NASDAQ is an OTC market 5:25 OTC markets are negotiated quote driven markets 5:58 Third market - listed securities traded OTC 6:05 Fourth market - direct trading between institutions 6:43 QIBs 7:19 PIPEs 7:47 Types of broker/dealers 9:56 ECONOMICS 10:08 Recession versus depression Recession is two calendar quarters of declining GDP and depression is 6 calendar quarters of declining GDP. Correction of verbal errata. 10:23 Monetary policy 10:31 Fiscal policy 10:40 Demand side versus supply side 11:46 Fed funds rate, discount rate. prime rate, broker call 12:20 SECURITIES 12:25 EQUITIES 12:43 Common stock 13:03 Preferred stock 13:34 Rights versus warrants 14:27 REITs 14:50 DEBT SECUITIES 15:30 Call risk 16:07 Convertible bonds 16:43 Inverse relationship of interest rates and bond prices 18:18 Secured bonds issued by corporations 18:39 Unsecured bonds issued by corporations 19:09 Liquidation priority 19:30 Zero coupon or original issue discount bonds 20:26 US Government securities 20:54 Money market securities 22:36 GNMA 22:51 Municipal bonds 22:53 General obligation versus Revenue 24:04 OPTIONS 27:32 DPPs AKA partnerships 29:03 MUTUAL FUNDS 30:17 Open end versus closed end 31:38 Open end versus ETF 32:18 Variable annuities 32:50 Systematic risk versus unsystematic risk 33:45 TRADING 33:48 Types of orders and time qualifiers 36:15 Cash dividends versus stock dividends 37:06 Types of settlements 37:34 Types of accounts. Cash accounts and margin accounts. UGMA/UTMA 40:30 Retirement accounts 41:24 Prohibited activities 43:40 Record retention. Most are 3 years 44:25 Regulatory framework 45:12 SIPC 45:52 Insider Trading Act of 1988 46:03 Cold calling 46:24 AML 47:23 State administrator. Blue sky. Uniform Securities Act 48:44 Percentages 50:14 Business and calendar days