How to Pass the SIE Exam: Act of 1934

A review of the Act of 1934 for the SIE exam and the Series 7 exam The basic principles of the Act of 1934 is a requirement to pass the Series 7 top off and the SIE exam. Your Series 7 exam prep should include the federal Acts and other regulations

also some budget-friendly help on the SIE

Michael Lewis ( love his take on finance )
Ray Dalio
1980s Insider Trading Scandal ( I read this 2 or 3 times ) it’s NOT the movie ha-ha

Chapters:
0:00 Intro
0:38 Secondary Market
1:33 M: Manipulation
2:15 I: Insiders & Insider Trading
3:20 S: SEC: Securities & Exchange Commission (Fed Gov)
3:53 S: Selling Short
5:00 P: Proxy Reports
5:27 E: Exchanges and Broker Dealers
5:48 R: Reports (10Q, 10K, 8K)
6:23 M: Margin & Reg T
6:49 S: Stabilization
8:15 MISSPERMS

[Lori_Kirstein]

Ken you're a huge help! THANKS! I've told another student about you.

[ruoruohu]

Thank you for these amazing videos. I have been watching them and they helped me so much! Hopefully I can pass my test in a few days:-)

[Appdawgz]

Taking the SIE today using this to top my regulations

[Laudansuemar]

Just to clarify: Marking the open is placing trades right after the market opens to manipulate (not right before).

[AlphaKingofGlory]

Great content refresher. Could you help me to understanding the role the SEB plays in management of federal accounts. My next question concerning social security; what type of investment is the social security collection account (after benefit payout)? And is how does the SEB account for the negative effects of inflation on this account?

[Lori_Kirstein]

Hey, Ken, I'm gonna beg you for something here. Would you consider titling your videos a little differently - or hire me to do it for you - using CHAPTERS and TOPICS together instead of as "parts"? That would be so helpful! Your stuff is crazy great, and I'm losing my mind a little trying to find the right video for the info you so helpfully provide! Cheers!

[Eddy-pcdb]

Hi Ken! Do you have a video on how to pass the SIE, as good as the “How to pass the Series 6”?That’s a great video.