Sign up to save your podcasts
Or
Share Intro to the SIE Exam 2024 ( AUDIO ONLY )
Share to email
Share to Facebook
Share to X
Share to email
Share to Facebook
Share to X
Or
Intro to the SIE Exam 2024 ( AUDIO ONLY )
SIE exam overview part 1 Podcast episode
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
Securities Regulations
- Securities Act of 1933 covers primary market and new securities issuance
- Securities Act of 1934 created the SEC and regulates the secondary market
- Other key acts include Investment Company Act of 1940 and Investment Advisers Act of 1940
Equity Securities
- Common stock provides ownership, voting rights, potential dividends
- Preferred stock provides fixed dividends, no voting rights
- ADRs allow trading foreign stocks on US exchanges
- Rights offerings allow existing shareholders to maintain ownership percentage
Debt Securities
- Corporate bonds, municipal bonds, and US Treasuries discussed
- Key concepts: par value, coupon rate, yield, call provisions
- Risks include interest rate risk, credit risk, reinvestment risk
Options
- Calls provide right to buy, puts provide right to sell
- Key terms: strike price, premium, expiration, intrinsic value
- Buying options limits risk to premium paid
- Selling options has potentially unlimited risk
Calculations
- Stock splits, dividends, and rights offerings
- Bond yields - current yield, yield to maturity, yield to call
- Options pricing and breakeven points
Next Steps
- Review practice questions, especially on topics like options and bond yields
- Focus on memorizing key regulatory acts and their provisions
- Practice calculations for stock splits, dividends, bond yields, etc.
- Review risks associated with different security types
#sieexam #sieexam #finra
View all episodes
By capadvantage
4.9
5959 ratings
SIE exam overview part 1 Podcast episode
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
Securities Regulations
- Securities Act of 1933 covers primary market and new securities issuance
- Securities Act of 1934 created the SEC and regulates the secondary market
- Other key acts include Investment Company Act of 1940 and Investment Advisers Act of 1940
Equity Securities
- Common stock provides ownership, voting rights, potential dividends
- Preferred stock provides fixed dividends, no voting rights
- ADRs allow trading foreign stocks on US exchanges
- Rights offerings allow existing shareholders to maintain ownership percentage
Debt Securities
- Corporate bonds, municipal bonds, and US Treasuries discussed
- Key concepts: par value, coupon rate, yield, call provisions
- Risks include interest rate risk, credit risk, reinvestment risk
Options
- Calls provide right to buy, puts provide right to sell
- Key terms: strike price, premium, expiration, intrinsic value
- Buying options limits risk to premium paid
- Selling options has potentially unlimited risk
Calculations
- Stock splits, dividends, and rights offerings
- Bond yields - current yield, yield to maturity, yield to call
- Options pricing and breakeven points
Next Steps
- Review practice questions, especially on topics like options and bond yields
- Focus on memorizing key regulatory acts and their provisions
- Practice calculations for stock splits, dividends, bond yields, etc.
- Review risks associated with different security types
#sieexam #sieexam #finra
More shows like Blue Collar Finance
View all
Marketplace
8,513 Listeners
Motley Fool Money
3,182 Listeners
Series 7 Exam; Series 7 Study Guide Lessons and Information
89 Listeners
We Study Billionaires - The Investor’s Podcast Network
3,375 Listeners
The Investing for Beginners Podcast - Your Path to Financial Freedom
1,407 Listeners
SIE Exam: Securities Industry Essentials Exam Lessons and Information
53 Listeners
FINRA Exam Tips and Career Advice - Achievable Podcast
31 Listeners
The Intrinsic Value Podcast - The Investor’s Podcast Network
555 Listeners
Shawn Ryan Show
41,607 Listeners
The Personal Finance Podcast
1,313 Listeners
Series 7 Exam Tutor's Podcast
31 Listeners
Series 6 Lessons Audio Lessons for the FINRA Series 6 Exam
3 Listeners
PBD Podcast
3,852 Listeners
Series 66 Exam Podcast
3 Listeners
FINRA Ninja - SIE Exam Prep
4 Listeners