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Welcome
FINRA Website
Overview of SIE Exam
FINRA Practice Exam
SIE Content Outline
YouTube Videos
SIE Questions of the Week Playlist
Test Anxiety Tips Playlist
Math Made Easy Playlist
Vocabulary Playlist
PassMasters Homepage
PassMasters Free Flashcards
PassMasters Free Practice Exam
PassMasters SIE Course Description
Recap
Intro
Question 3 – Depression
6 – Risk when money is not invested
10 – Stock splits effect on an open order to buy
13 – Shelf registration
17 – Regulation BI
20 – ADRs
23 – Markets
26 – Measurements of market sentiment
29 – Stock dividends
33 – Risk related to failure of a company
36 – Bond Rating
40 – Electronic communications
43 – Portfolio of callable bonds
46 – Rumors via social media
50 – Accredited investor
53 – Highly leveraged company
57 - Hardest type of business to raise capital for
61 – Trusts
64 – DPPs
68 – Long a call most make
70 – Not an insider
74 – Who oversees the securities industry
SIE Exam broken down into four sections
THANK YOU
Intro
Practice Question 1 – Repurchase agreements
Practice Question 3 – How much can you lose?
Practice Question 4 – Net worth formula
Practice Question 6 – Hedge funds
Practice Question 7 – ETNs
Practice Question 9 – Nonqualified retirement plan
Practice Question 10 – HSA contributions
Practice Question 12 – Most important yield on a callable bond
Practice Question 13 – Real return
Practice Question 15 – Who does the CBOE run fingerprint based background checks on
Practice Question 16 – Proxy and annual meeting
Practice Question 18 – Options hedge breakeven
Practice Question 20 – Cost basis on inherited stock
Practice Question 21 – Trading currencies
Practice Question 23 – Annuities
Practice Question 24 – Market momentum
Practice Question 26 – Regulation S-P
Practice Question 27 – Discretionary authority
Practice Question 29 – Securities markets
Practice Question 30 – When can a R/R share in a customer's account
Practice Question 32 – Market manipulation
Practice Question 33 – Firm's do-not-call list
Practice Question 35 – Form CRS
Recap
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YouTube-Series 7 Whisperer #1 Series 7 Exam prep
2023/12/04Welcome
Practice Question 1 – CE requirements – note CE requirements for registered representatives will change 1/1/23, this question will be updated when the exam updates
Practice Question 2 – B/D membership to FINRA
Practice Question 3 – Activities allowed when an individual is not a registered representative
Practice Question 4 – Trainers in the securities industry must be registered as
Practice Question 5 – Definition of statutory disqualification
Practice Question 6 – Statutory disqualification of an individual
Practice Question 7 – Agent’s registration renewal date
Practice Question 8 – CBOE background checks
Practice Question 9 – Statutory disqualification of an individual
Practice Question 10 – Associated persons
Recap