SIE Exam : Part 3 (Regulations)

Описание: SIE exam prep made easy. I review chapter 2 of the book so you can read along in your SIE exam book.
0:00 Introduction
0:30 Overview of Regulators (SEC, FINRA, MSRB)
2:00 The SEC – Protecting Investors & Market Integrity
3:30 The Federal Reserve – Controlling the Money Supply
5:00 FDIC – Protecting Bank Deposits
6:30 Self-Regulatory Organizations (SROs) Explained
8:00 Blue Sky Laws & State Regulations (NASAA)
9:30 Key Securities Laws & Acts
10:00 Securities Act of 1933 – Primary Market Regulations
11:30 Securities Exchange Act of 1934 – Trading & Reporting Rules
13:00 SIPC (Securities Investor Protection Corporation) – What It Covers
15:00 ERISA – Retirement Plan Protection
16:30 Insider Trading & Securities Fraud Enforcement Act of 1988
18:00 Penny Stock Reform Act of 1990 – High-Risk Stock Rules
19:30 Telephone Consumer Protection Act of 1991 – Do Not Call Rules
21:00 The USA PATRIOT Act & Anti-Money Laundering Rules
22:30 FINRA Rules & Four Main Sections
23:00 Conduct Rules – Customer & Broker-Dealer Relations
24:30 Uniform Practice Code (UPC) – Trade Settlement Rules
25:30 Code of Procedure – FINRA Disciplinary Actions
26:30 Arbitration – Resolving Broker & Customer Disputes
27:30 MSRB – Municipal Securities Regulations
28:30 CBOE – Regulating Options Trading
29:30 Firm-Specific Rules – Written Supervisory Procedures
30:00 Final Thoughts & Study Advice

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also some budget-friendly help on the SIE
https://achievable.me/?utm_source=cap...


also kindle unlimited has some free resources for members
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Series 7 for Dummies--https://amzn.to/36lmX7r
Series 7 for Dummies Questions -- https://amzn.to/352vDiK

Michael Lewis ( love his take on finance )
Liars poker https://amzn.to/34J6MQH
Flash Boys https://amzn.to/34zVwFU
Money Culture https://amzn.to/2JSV6CQ
PANIC!! https://amzn.to/2Nlvd0w
Ray Dalio
Big Debt Crisis https://amzn.to/36EGaSA
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the movie ha-ha
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0:00 Intro
0:30 Regulators
4:20 FINRA Rules
5:00 Acts
6:55 SIPC
9:05 Penny Stock
11:20 Code of Procedure
11:33 Arbitration
12:07 MSRB