Series 7 Whisperer

Intro to the SIE exam part 2 8/26/2024


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Meeting purpose

To provide training and review key concepts for the SIE exam

Key Takeaways
  • Reviewed mutual funds, options, margin accounts, and other key topics
  • Practiced sample exam questions and discussed correct answers/reasoning
  • Instructor will hold an additional 1-hour Q&A session on Sunday or Monday evening
  • Participants should focus on additional reading and knowledge building in the final week before the exam
  • Topics
    Mutual Funds
    • Reviewed A, B, and C share classes and their fee structures
  • Discussed breakpoints, rights of accumulation, and letter of intent
  • Covered NAV calculation, forward pricing, and prospectus requirements
  • Options
    • Reviewed call and put options, including max gain/loss scenarios
  • Practiced calculating breakeven points for various option strategies
  • Discussed index options and cash settlement
  • Margin Accounts
    • Reviewed Regulation T 50% initial margin requirement
  • Discussed maintenance margin requirements (25% for long positions, 30% for short)
  • Covered minimum equity requirement of $2,000
  • Order Types
    • Reviewed market orders, limit orders, stop orders, and stop limit orders
  • Practiced identifying appropriate order types for different scenarios
    •  
    ...more
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