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SIE exam overview part 1 Podcast episode
major securities regulations (Securities Acts of 1933, 1934, etc.) and their key provisions
Topics
Securities Regulations
- Securities Act of 1933 covers primary market and new securities issuance
Equity Securities
- Common stock provides ownership, voting rights, potential dividends
Debt Securities
- Corporate bonds, municipal bonds, and US Treasuries discussed
Options
- Calls provide right to buy, puts provide right to sell
Calculations
- Stock splits, dividends, and rights offerings
Next Steps
- Review practice questions, especially on topics like options and bond yields
#sieexam #sieexam #finra
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6565 ratings
SIE exam overview part 1 Podcast episode
major securities regulations (Securities Acts of 1933, 1934, etc.) and their key provisions
Topics
Securities Regulations
- Securities Act of 1933 covers primary market and new securities issuance
Equity Securities
- Common stock provides ownership, voting rights, potential dividends
Debt Securities
- Corporate bonds, municipal bonds, and US Treasuries discussed
Options
- Calls provide right to buy, puts provide right to sell
Calculations
- Stock splits, dividends, and rights offerings
Next Steps
- Review practice questions, especially on topics like options and bond yields
#sieexam #sieexam #finra
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