The Complete SIE Exam Guide: Part 2- What You NEED to Know to Pass

Capital Advantage Tutoring 📜 FINRA Rules You NEED to Know for the SIE Exam | Rule 2269 & Rule 5250 Explained In this video, we break down two key FINRA rules tested on the SIE Exam: ✅ Rule 2269 – Disclosure of Interest in Primary or Secondary Offerings ✅ Rule 5250 – No Pay-for-Play Market Making Learn how these rules protect investors by requiring reps to disclose conflicts of interest and banning shady under-the-table deals with market makers. If you're studying for the SIE, Series 7, or just want to know how the markets stay legit, this one's for you. 📌 Rule 2269 = Be transparent if you're pushing a stock your firm has a stake in. 📌 Rule 5250 = Market makers can’t accept payment just to quote a security. 👉 Hit like, subscribe, and drop a comment if you’re grinding for the SIE exam. #FINRA #SIEExam #Rule2269 #Rule5250 #Series7 #SecuritiesIndustry #BrokerDealer #MarketMaking #FinanceEducation #WallStreetTraining #FINRAExamPrep #DisclosureRules 0:00 Intro 00:16 Offerings 00:27 Underwriting Syndicate 00:56 Municipal Advisors 01:07 Types of offerings ( Public vs Private ) 01:37 Accredited Investors 02:08 IPOs primary offering 02:24 Secondary offering 02:53 Follow on offering/Additional offerings 03:23 Best Efforts Offerings 04:03 Firm Commitment 04:37 Shelf Offering 05:49 Shameless Plug 06:02 Official Statement 06:13 Prospectus 06:25 Prospectus Delivery Requirements 08:02 SEC filing documents S-1,S-3 08:51 Blue Sky Laws 09:26 SIPC 11:40 Offering Disclosures 12:45 G-11 MSRB rules 12:56 Municipal Order priority 14:42 Who enforces MSRB rules 16:43 Official Statement Delivery Requirements 17:26 CUSIP Numbers 18:47 Act of 1933 20:57 Prospectus 23:12 Omitting prospectus for Mutual Funds 23:49 Act of 1934 27:30 Regulation D 27:45 Accredited investor for the 3rd damn time 28:43 Rule 144 29:49 Rule 144A 30:15 Rule 145 30:33 Rule 147 31:59 MISSPERMS 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-... 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/capit... Try Kindle Unlimited for free ( 30 days) https://amzn.to/3zRo9hA my first book!! SIE EXAM https://www.amazon.com/dp/B0F7FXQKRN Join this channel to get access to perks:    / @series7whisperer   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