Intro to the SIE (Part 1) 8/28/2024

SIE exam overview part 1 Podcast episode
0:00 intro
major securities regulations (Securities Acts of 1933, 1934, etc.) and their key provisions
- Detailed explanations were provided on different types of securities including stocks, bonds, options, and their characteristics
- Math concepts related to securities pricing, yields, and options were demonstrated
- Practice questions were reviewed to show how concepts may be tested on the SIE exam

Topics

Securities Regulations

01:27 - Securities Act of 1933 covers primary market and new securities issuance
- Securities Act of 1934 created the SEC and regulates the secondary market
- Other key acts include Investment Company Act of 1940 and Investment Advisers Act of 1940

Equity Securities

48:49 - Common stock provides ownership, voting rights, potential dividends
ADRs allow trading foreign stocks on US exchanges
01:21:20 - Preferred stock provides fixed dividends, no voting rights
-
- Rights offerings allow existing shareholders to maintain ownership percentage

01:36:31 Debt Securities

- Corporate bonds, municipal bonds, and US Treasuries discussed
- Key concepts: par value, coupon rate, yield, call provisions
02:14:49 - Risks include interest rate risk, credit risk, reinvestment risk

02:21:14 Options

- Calls provide right to buy, puts provide right to sell
- Key terms: strike price, premium, expiration, intrinsic value
- Buying options limits risk to premium paid
- Selling options has potentially unlimited risk

Calculations

- Stock splits, dividends, and rights offerings
- Bond yields - current yield, yield to maturity, yield to call
- Options pricing and breakeven points
02:43:14 Sample Questions
Next Steps

- Review practice questions, especially on topics like options and bond yields
- Focus on memorizing key regulatory acts and their provisions
- Practice calculations for stock splits, dividends, bond yields, etc.
- Review risks associated with different security types

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Ken Finnen Chatham NJ

[SeriesExam]

If you need more questions answered join me on Tuesdays and and Thursdays for a live Q&A on all exams 🎉

[ColeFlemons]

I wrote the SIE exam yesterday and passed!! I watched all your videos and it was 100% the difference. Thank you Ken you are awesome!!

[raffy]

Ken seriously man thank you so much. Took the SIE today and I passed. I know you hear that all the time but TRULY your videos were the determining factor. I cannot thank you enough brother. Im beyond the moon. Wishing well to you and your family.❤

[britneyalana]

Ken! Just passed the SIE today. You truly are the best. Can't wait to start studying for the 7. THANK YOU!

[dabeast]

Just got the word my company hired you I can’t wait. You the best. I can’t wait

[achal]

Ken, just passed SIE 10mins back, a big shout out to you for helping me understand the basics

[milesgreen]

in which order should i watch your videos? should i be watching this one first or the ones from the longer playlist?

[lisac.gayden]

Hi Ken I'm studying and came across your videos for the SIE where should I start with your videos... to prepare and get ready for the test the end of October?

[buckwheat]

Hey Ken, I used your videos to get through the SIE and I take the 7 in about a month. I am concerned about your series 7 videos being outdated, is that going to be an issue? if not where should I start? (besides reading the book, I know you always suggest to read the book first)

[nainatewari]

I am just confused which videos I shd watch it for sie 1st