SIE Exam Prep Customer Accounts and Trading. 23 questions!!! Explicated.

   • SIE Exam Regulatory Framework. 7 questions...   is the next and final one! TIME STAMPS: 00:00 Intro 2:16 Market orders 2:50 Stop orders 4:20 Limit orders 5:20 Where orders are placed in relation to the current market price 6:30 Day order versus GTC orders 7:15 Discretionary orders 8:44 Solicited versus unsolicited orders 9:10 Bid and ask 11:40 Broker or dealer capacity 13:45 Long and short positions. Opening and closing orders. 15:00 Naked or uncovered call versus covered call 16:04 Bullish versus bearish 17:08 Total return 17:48 Cash dividends versus stock dividends 18:53 Declared date. Ex date. Record date. Payable date. 22:18 Yield relationships 23:35 S&P 500, Russell 2000, Wilshire 5000 24:52 Settlement dates 25:58 Physical versus book entry 27:12 Treasury stock 28:10 Tender offers 28:50 Rights offering 29:50 Stock splits 32:48 Cash accounts 33:18 Margin accounts 34:37 Option accounts 35:54 Discretionary accounts 36:30 Wrap accounts 37:23 529 accounts 38:07 JTWROS versus TIC accounts 39:28 Corporate accounts 39:52 Trust accounts 40:10 UTMA accounts 41:11 Partnership accounts 41:30 Qualified retirement plans 42:04 RMD 72 42:30 Anti Money Laundering 46:35 Record retention 46:40 Confirmations and account statements 47:35 Holding customer mail 48:10 Business Continuity Plan 49:20 Cold calling 49:35 Know Your Customer (KYC) 49:49 Market manipulation 51:18 Backing away 52:27 Insider trading 54:27 Sharing in customer accounts 55:10 Exploitation of seniors