SIE Exam Prep
This is the introduction to the best SIE Exam Prep available in a series of audio lessons, The Securities Industry Essentials Exam is Effective October 1, 2018 when the Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. Where now the SIE Exam is a required prerequisite for most of the FINRA Licensing tests.
Again in my opinion this is the best SIE Exam prep audio course is to help prepare you to the the SIE Exam which is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.
The New Securities Industry Essentials Exam now tests on most of the information that was originally tested on to pass the old Series 7 Exam. So the Exam in a very serious challenge of your understanding of the Financial Industry , Investments and Regulations and should not be taken lightly.
Unlike the licensing exams such as the Series 4,6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers.
Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm.
Essentials exam results are valid for four years.
Just passing the SIE alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the SIE and a qualification exam appropriate for the type of business (the most common being the Series 7 Exam) the individual will engage in. The individual must be associated with a member firm to take a qualification exam.
We have created a new Audio Course specifically for the SIE Exam
Testimonials This is what our customers say!
Click here for the Table of Contents for the Securities Industry Essentials Exam Lessons
Try 5 free SIE Exam Audio Lessons and see if our teaching style works for you
The next lesson you may want to take will be for the Series 7 Exam
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Series 6 Exam Lessons
The Series 6 Exam lessons are audio lessons to assist in passing the Series 6 Exam which is require to sell: investment company and variable contract products representative, including sales of mutual funds and variable annuities.
Candidates must pass both the Securities Industry Essentials (SIE) exam and the Series 6 exam to obtain the Investment Company and Variable Contracts Products registration. Individuals passing these exams may be licensed to sell a limited set of securities products:
- Mutual funds
- Closed-end funds on the initial offering only
- Unit investment trusts
- Variable Annuities
This exam is administered by the Financial Industry Regulatory Authority (FINRA) The Series 6 Exam is an entry level exam. To be able to offer other investment products to individuals such as Stocks and Bonds a Series 7 License is Required. The exam candidate is required to master quite a bit of material. Our audio lessons are designed to act a audio supplement to the regular book or classwork needed to prepare for this exam. The here is a pdf of the outline for the Series 6
Table of Contents
Lesson 1: Exam Overview (25:24)
Lesson 2: (27:46)
Lesson 3: (26:20)
Lesson 4: (25:35)
Lesson 5: (25:51)
Lesson 6: (27:02)
Lesson 7: (25:25)
Lesson 8: (25:20)
Lesson 9: (26:38)
Lesson 10: (26:32)
Lesson 11: (27:13)
Lesson 12: (25:31)
Lesson 13: (25:28)
Lesson 14: (25:23)
Lesson 15: (25:38)
Lesson 16: (26:07)
Lesson 17: (25:26)
Lesson 18: Review 1 (26:49)
Lesson 19: Review 2 (26:51)
Lesson 20: Review 3 (28:03)
Total Length 8 Hours 44 Min
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Series 7 Exam Prep
Series 7 Exam Prep: Audio Instruction for the Series 7 Exam
This is a series 7 exam prep course. The Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam prep packages provide all the necessary tools to help you prepare, practice, and perform on the New Series 7 Exam, General Securities Representative Examination (GS). We offer an audio approach for exam prep you can use whatever the audio lessons needed to best suit your learning style and schedule to reinforce concepts used in the financial services industry.
Are you preparing for the Series 7 Exam?
If you are and you commute or exercise our audio lessons for the new series 7 examination could help you make the most of your time.
Take a look at our Testimonials https://www.series7podcast.com/series-7-course-
More information about the Series 7 Exam
This series 7 prep audio course is the most comprehensive audio study package available, the Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam, has everything you need to effectively prepare for your qualification exam in a audio format. However unless you have perfect total audio recall we recommend that you also study series 7 prep instructional textbooks, take practice quizzes and use other learning methods to solidify your knowledge of the series 7 exam. Start your exam preparation by listening to bite sized audio lessons and to schedule daily audio lessons based on your study time frame and exam date.
You will need to take the SIE Exam with or concurrent with the Series 7 Exam
Testimonials and Reviews of the Series 7 Study Guide
Here is what our audio lessons include:
Series 7 Top-Off Study Guide Audio Lessons for the New Series 7 Exam |
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Table Of Contents | ||
Min | Sec | |
Lesson 1 Introduction | 18 | 45 |
Lesson 2 Section 1 Communication and Correspondence |
29 | 4 |
Lesson 3 Section 1 Rankings, Volatility Ratings CMO’s |
31 | 22 |
Lesson 4 Section 1 Option Communication and Disclosures |
24 | 27 |
Lesson 5 Section 1 Securities Act of 1933 |
35 | 56 |
Lesson 6 Section 1 Securities Exchange Act of 1934 |
40 | 14 |
Lesson 7 Section 1 MSRB Advertising, FINRA Rules |
17 | 41 |
Lesson 8 Section 1 FINRA Rules |
8 | 51 |
Lesson 9 Section 1 MSRB Rules |
38 | 3 |
Lesson 10 Section 1 Underwritings |
28 | 13 |
Lesson 11 Section 1 Reg A+, Reg D, 144 |
18 | 35 |
Lesson 12 Section 2 Accounts |
30 | 11 |
Lesson 13 Section 2 IRA | 40 | 41 |
Lesson 14 Section 2 Keogh Plans |
30 | 58 |
Lesson 15 Section 2 SEP IRA Def Benn |
28 | 40 |
Lesson 16 Secton 2 Acccounts |
14 | 49 |
Lesson 17 Section 3 Know your Customer | 30 | 46 |
Lesson 18 Section 3 Common Stocks |
38 | 6 |
Lesson 19 Section 3 Preferred Stock |
26 | 1 |
Lesson 20 Section 3 Special Securities |
17 | 31 |
Lesson 21 Section 3 Fixed Income 1 |
23 | 24 |
Lesson 22 Section 3 Fixed Income 2 |
41 | 14 |
Lesson 23 Section 3 Fixed Income 3 |
52 | 22 |
Lesson 24 Section 3 Stock Fundamental Analysis pt. 1, Balance Sheet pt. 1 |
31 | 22 |
Lesson 25 Section 3 Stock Fundamental Analysis pt. 2, Balance Sheet pt. 2 |
25 | 37 |
Lesson 26 Section 3 Stock Fundamental Analysis pt. 3, Balance Sheet pt. 3 |
36 | 54 |
Lesson 27 Section 3 Stock Fundamental Analysis pt. 4 Income Statement pt. 1 |
33 | 55 |
Lesson 28 Section 3 Stock Fundamental Analysis pt. 5 Income Statement pt. 2 |
32 | 54 |
Lesson 29 Section 3 Stock Fundamental Analysis pt. 6 Income Statement pt. 3 |
28 | 25 |
Lesson 30 Section 3 Stock Fundamental Analysis pt. 7 Cash Flow Statement pt. 1 |
17 | 9 |
Lesson 31 Section 3 Stock Fundamental Analysis pt. 8 Cash Flow Statement pt. 2 |
23 | 38 |
Lesson 32 Section 3 Stock Fundamental Analysis pt. 9 Discounted Cash Flow |
13 | 41 |
Lesson 33 Section 3 Stock Fundamental Analysis pt. 10 Ratio Analysis |
14 | 45 |
Lesson 34 Section 3 Technical Analysis |
18 | 53 |
Lesson 35 Section 3 Macro Economic Analysis |
38 | 42 |
Lesson 36 Section 3 Macro Economic and Portfolio Analysis |
34 | 38 |
Lesson 37 Section 3 Municipal Debt |
41 | 48 |
Lesson 38 Section 3 Municipal Underwriting |
38 | 5 |
Lesson 39 Section 3 Money Market |
21 | 27 |
Lesson 40 Section 3 Credit Default Swaps, Auction Rate Sec., Structured Products |
29 | 30 |
Lesson 41 Section 3 Underwriting |
39 | 44 |
Lesson 42 Section 3 Investment Company Act of 1940 |
12 | 30 |
Lesson 43 Section 3 Mutual Funds pt. 1 |
28 | 54 |
Lesson 44 Section 3 Mutual Funds pt. 2 |
22 | 18 |
Lesson 45 Section 3 Mutual Funds pt. 3 |
31 | 59 |
Lesson 46 Section 3 Unit Investment Trusts |
31 | 18 |
Lesson 47 Section 3 Annuities |
31 | 42 |
Lesson 48 Section 3 Life Insurance |
13 | 19 |
Lesson 49 Section 3 Partnerships |
34 | 25 |
Lesson 50 Section 3 Options pt. 1 |
22 | 25 |
Lesson 51 Section 3 Options pt. 2 |
21 | 28 |
Lesson 52 Section 3 Options pt. 3 |
18 | 18 |
Lesson 53 Section 3 Options pt. 4 |
20 | 53 |
Lesson 54 Section 3 Options pt. 5 |
30 | 8 |
Lesson 55 Section 3 Options pt. 6 |
24 | 9 |
Lesson 56 Section 3 REITS |
24 | 11 |
Lesson 57 Section 3 ETF ETN Corp Actions |
21 | 29 |
Lesson 58 Section 3 529 Plans and ABLE Accounts |
14 | 18 |
Lesson 59 Section 3 Yield Curve, BOP and Currency Risk |
31 | 55 |
Lesson 60 Section 4 Margins pt. 1 |
27 | 28 |
Lesson 61 Section 4 Margins pt.2 |
7 | 23 |
Lesson 62 Section 4 SMA | 15 | 18 |
Lesson 63 Section 4 Trading Markets pt. 1 |
29 | 2 |
Lesson 64 Section 4 Trading Markets pt. 2 |
22 | 54 |
Lesson 65 Section 4 Trading Markets pt. 3 |
28 | 43 |
Lesson 66 Section 4 Trading Markets pt. 4 |
35 | 9 |
Lesson 67 Section 4 Trading Markets pt. 5 |
18 | 37 |
Lesson 68 Section 4 FINRA Rules pt.1 |
30 | 23 |
Lesson 69 Section 4 FINRA Rules pt.2 |
28 | 32 |
Lesson 70 Section 4 Blue Sky Laws and Sarbanes Oxley |
23 | 26 |
Lesson 71 Section 4 Customer Accounts Registration and AML Rules |
17 | 1 |
Lesson 72 Review Product Specific Risks |
12 | 56 |
Lesson 73 Review FINRA Rules | 26 | 59 |
Lesson 74 Postscript | 1 | 11 |
Total Length 32 hours 27 Min |
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Series 63 Exam Prep
What’s this Series 63 exam? You would think that after passing the SIE exam (Securities Industries Essentials) and then the Series 7 exam you would be ready to start selling investment products for a broker dealer. Unfortunately this is not true you have one more hoop to jump through, one more examination to take, its called the Series 63 exam. And we can help you in your Series 63 Exam Prep.
Series 63 is required for individuals seeking to register as securities agents or registered reps with a state securities administrator. Think of the Series 7 and SIE exam as federal examinations and the series 63 as a state examination. We cannot let the federal regulators have all the fun the state regulators need to step in as well. (They have to justify their existence somehow and the way regulators justify their existence is to regulate)
The Series 63 exam, also called the Uniform Securities State Law Examination, is a North American Securities Administrators Association (NASAA) exam and administered by FINRA.
The exam consists of 60 scored questions. Candidates have 75 minutes to complete the exam. In order for a candidate to pass the Series 63 exam, he/she must correctly answer at least 43 of the 60 scored questions (71.667% required to pass).
We have audio lessons to help you prepare for the series 63 exam.
Series 63 Exam Audio Study Lessons
Series 63 Exam lesson Introduction Intro
About the Exam
Series 63 Exam lesson 1 Business Practices customer accounts part 1
Cash accounts and
Client information requirements
Margin accounts
Information requirements
Individual Accounts
Joint Accounts
Transfer on Death
Discretionary Authority
Suitability of investments
Wash trades
Solicited orders vs unsolicited orders
Suitability Rules
Customer communication of risks
Fiduciary Rules: Broker Dealer vs Investment Advisor
Settlement
Reg T
Short Sales
Comingling Stocks
Proprietary positions of Broker Dealer
Client Taking Possession of Securities
Series 63 Exam lesson 2 Business Practices customer accounts part 2
Antifraud Rules
Client Consent
Contract Requirements
Investment Advisory Agreement Requirements
Sharing of Gains and Losses
Brochure requirements
ADVA pt 2a pt2b
Custody of Client Assets
Series 63 Exam lesson 3 Business Practices customer accounts part 3
Borrowing Money from Customers
Loaning Money to Customers
Commissions’
Disclosure
Customer Complaints
Trading Practices
Tipper Tipee rules
Penalties for Insider Trading
Front Running
Initial Public Offerings
Advertising
Testimonials
Internet Advertising
Email Communication
Selling Away
Referral Fees
Series 63 Exam lesson 4 Business Practices
Uniform Prudent Investor Act
Diversification
Concentrated Portfolios
Prohibited Transactions
Block Trades
Conflicts of Interest
Not Not May Rules
Promissory Note Fraud
Anti-Money Laundering Rules
Suspicious Activity Reports
Privacy Statement
Orders and Order Confirmations
Do It Rule
Limit Order Display Rule
Payment for Order Flow
Series 63 Exam lesson 5 Registration & Licensing part 1
Blue Sky Laws
Conflicts between Fed and State
Definitions
Issuer
Non Issuer
Agents
Principal
Intuitional Buyers
Exclusions
De Minimis Rule
Exempt Securities
Isolated Transaction Loophole
Covered Securities
Qualified Purchaser
Series 63 Exam lesson 6 Registration & Licensing part 2
Financial Advisors
State Registration vs. Fed Registration
National Securities Improvement act of 1996
Investment Advisor Representative
Broker Dealer Agent
Exclusions
Exemptions
Fees
U4 Form
U5 Form
CRD
Series 63 Exam lesson 7 Registration & Licensing part 3
Registration Requirements
Net Capital
Individual vs. Entity
Surety Bond
Custody of Assets
Financial Report
Maintaining Registration
Record Keeping Requirements
Record Retention
Broker Dealer Records Act of 1934
Advertising
Email Correspondence
Electronic Record Keeping
Brochure Rule
Statute of Limitations
Suspensions
Withdrawing from the Business
Series 63 Exam lesson 8 Securities Registration
Definition of Security
Exempted Securities
Federal Covered Securities
Definition of Sale and Offer
Registration by Filing
Registration by Coordination
Registration by Qualification
Revocation of Registration
Hearing Requirements
Series 63 Exam lesson 9 Administrative Procedures
Penalties
Investigations
Non Public and Public Investigations
Grounds for Suspension or Revocation
Cease and Desist Orders
Criminal Liability
Civil Liability
Offer of Rescission
Radio and Newspaper Offers
Web Pages
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Series 22 Exam Prep Audio Lessons

Audio Lessons for the FINRA Series 22 Exam. The Direct Participation Program Representative Exam
Table of Contents
Series 22 Exam Prep Audio Lessons
Lesson 1: Introduction to the FINRA Series 22 Exam : (25:18)
Lesson 2: Essential Vocabulary, Part I: (25:20)
Lesson 3: Essential Vocabulary, Part II: (26:10)
Lesson 4 Limited Partnerships: (25:43)
Lesson 5 Kinds of Limited Partnerships: (25:42)
Lesson 6 Direct Participation Programs (DPP): (26:09)
Lesson 7 Entertainment Programs: (26:34)
Lesson 8 Securities Act of 1933: (25:19)
Lesson 9 Types of Offerings: (25:19)
Lesson 10 Rule 144: (25:27)
Lesson 11 DPP Offerings: (25:39)
Lesson 12 Fixed-Price Offerings: (25:00)
Lesson 13 Fiduciary Responsibilities: (25:20)
Lesson 14 The Securities and Exchange Act of 1934: (25:19)
Lesson 15 Disciplinary Actions: (25:24)
Lesson 16 Registered Representative Criteria: (26:16)
Lesson 17 Securities Investor Protection Corporation (SIPC): (25:18)
Lesson 18 New Account Regulations: (25:40)
Lesson 19 Types of Accounts: (25:29)
Lesson 20 Margin accounts: (26:11)
Lesson 21 Review Part 1: (25:18)
Lesson 22 Review Part 2: (27:53)
Total Time 9 hours 26 Minutes
From the FINRA Web Site
The Series 22 exam — the Direct Participation Programs Limited Representative Exam (DR) — assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.
The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a direct participation programs representative, including the solicitation, purchase and sale of limited partnerships, among other products. The series 22 exam prep audio lessons will help you!
Candidates must pass the Securities Industry Esentials (SIE) exam and the Series 22 exam to obtain the Direct Participation Programs Representative registration. For more information about the SIE and Series 22 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(8).
The Duration column below is the amount of time permitted to complete each exam. Exam appointment times include an additional 30 minutes for taking the tutorial and completing the post-exam survey…..
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Series 65 Exam Prep Audio Lessons
Series 65 Exam Prep Audio Lessons for the FINRA Series 65 Exam
61 Audio Lessons
27 hours 12 min
Table of Contents
Title Min Sec
Lesson 1 Macro Economic Analysis pt 1 34 36
Lesson 2 Macro Economic Analysis pt 2 32 18
Lesson 3 Yield Curve Balance of Payments and Currency Risk 31 37
Lesson 4 Financial Statements Balance Sheet pt 1 29 46
Lesson 5 Financial Statements Balance Sheet pt 2 25 33
Lesson 6 Financial Statements Balance Sheet pt 3 36 52
Lesson 7 Financial Statements Income Statement pt 1 33 57
Lesson 8 Financial Statements Income Statement pt 2 32 55
Lesson 9 Financial Statements Income Statement pt 3 28 42
Lesson 10 Financial Statements Cash Flow Statement pt 1 17 7
Lesson 11 Financial Statements Cash Flow Statement pt 2 23 39
Lesson 12 Discounted Cash Flow Model 13 9
Lesson 13 Ratio Analysis 14 48
Lesson 14 Technical Analysis 18 53
Lesson 15 Common Stock 38 5
Lesson 16 Preferred Stock 26 5
Lesson 17 Special Securities 17 36
Lesson 18 Fixed Income pt 1 25 22
Lesson 19 Fixed Income pt 2 41 16
Lesson 20 Fixed Income pt 3 40 35
Lesson 21 Money Market 20 2
Lesson 22 CDS ARS SP 27 25
Lesson 23 Municipal Debt 37 2
Lesson 24 Mutual Funds pt 1 28 59
Lesson 25 Mutual Funds pt 2 22 18
Lesson 26 Mutual Funds pt 3 31 37
Lesson 27 ETF ETN and Corp Actions 21 34
Lesson 28 Unit Investment Trusts 31 17
Lesson 29 Annuities 29 37
Lesson 30 Life Ins Viatical Settlements 21 39
Lesson 31 Partnerships 31 54
Lesson 32 REIT’s 31 37
Lesson 33 Present Value, Net PV, IRR, Commodities, Precious Metals 25 46
Lesson 34 Options pt. 1 22 11
Lesson 35 Options pt. 2 21 29
Lesson 36 Options pt. 3 18 22
Lesson 37 Options pt. 4 20 33
Lesson 38 Options pt. 5 30 10
Lesson 39 Options pt. 6 22 21
Lesson 40 Accounts and Anti Money Laundering 29 33
Lesson 41 Accounts and Anti Money Laundering pt 2 14 32
Lesson 42 Account Registration and Anti Money Laundry Rules 16 38
Lesson 43 Client Types and Appropriate Investments 37 52
Lesson 44 Know Your Customer and Portfolio Strategies 30 1
Lesson 45 Investment Taxation 35 55
Lesson 46 IRA Accounts 31 39
Lesson 47 Keogh Plans and Defined Contribution Plans 26 4
Lesson 48 Defined Pension Plans and Contribution Plans 22 10
Lesson 49 Inherited IRA’s, Non Qualified Plans, ERISA, Investment Policy Statement 20 28
Lesson 50 UGTMA, Trusts and Wills, Qualified Domestic Relations order (QDROs) 22 39
Lesson 51 Trading Markets Pt 1 Markets and Order Tickets 25 40
Lesson 52 Trading Markets pt 2 Order Types, Specalists and Dealers 27 23
Lesson 53 Trading Markets pt 3 Rules 34 12
Lesson 54 Trading Markets pt 4 Options 12 35
Lesson 55 Securities act of 1933 and 144 stock 34 2
Lesson 56 Securities and Exchange Act of 1934 and Insider Trading 38 19
Lesson 57 Investment Company Act of 1940 11 22
Lesson 58 Sarbanes Oxley and Blue Sky Laws 22 28
Lesson 59 Investment Advisors Act of 1940 Pt 1 27 25
Lesson 60 Investment Advisors Act of 1940 Pt 2 24 43
Lesson 61 Investment Advisors Act of 1940 Pt 3 28 30
Series 65 Exam Prep Audio Lessons for the FINRA Series 65 Exam one of the FINRA Major Exams to become a Registered Investment Advisor
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Series 66 Exam Prep
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Series 66 Exam Prep Audio Lessons
Series 66 Exam Prep Audio Lessons for the FINRA Series 66 Exam
71 Audio Lessons
30 hours 21 min
Table of Contents
Title Min Sec
Lesson 1 Macro Economic Analysis pt 1 34 36
Lesson 2 Macro Economic Analysis pt 2 32 18
Lesson 3 Yield Curve Balance of Payments and Currency Risk 31 37
Lesson 4 Financial Statements Balance Sheet pt 1 29 46
Lesson 5 Financial Statements Balance Sheet pt 2 25 33
Lesson 6 Financial Statements Balance Sheet pt 3 36 52
Lesson 7 Financial Statements Income Statement pt 1 33 57
Lesson 8 Financial Statements Income Statement pt 2 32 55
Lesson 9 Financial Statements Income Statement pt 3 28 42
Lesson 10 Financial Statements Cash Flow Statement pt 1 17 7
Lesson 11 Financial Statements Cash Flow Statement pt 2 23 39
Lesson 12 Discounted Cash Flow Model 13 9
Lesson 13 Ratio Analysis 14 48
Lesson 14 Technical Analysis 18 53
Lesson 15 Common Stock 38 5
Lesson 16 Preferred Stock 26 5
Lesson 17 Special Securities 17 36
Lesson 18 Fixed Income pt 1 25 22
Lesson 19 Fixed Income pt 2 41 16
Lesson 20 Fixed Income pt 3 40 35
Lesson 21 Money Market 20 2
Lesson 22 CDS ARS SP 27 25
Lesson 23 Municipal Debt 37 2
Lesson 24 Mutual Funds pt 1 28 59
Lesson 25 Mutual Funds pt 2 22 18
Lesson 26 Mutual Funds pt 3 31 37
Lesson 27 ETF ETN and Corp Actions 21 34
Lesson 28 Unit Investment Trusts 31 17
Lesson 29 Annuities 29 37
Lesson 30 Life Ins Viatical Settlements 21 39
Lesson 31 Partnerships 31 54
Lesson 32 REIT’s 31 37
Lesson 33 Present Value, Net PV, IRR, Commodities, Precious Metals 25 46
Lesson 34 Options pt. 1 22 11
Lesson 35 Options pt. 2 21 29
Lesson 36 Options pt. 3 18 22
Lesson 37 Options pt. 4 20 33
Lesson 38 Options pt. 5 30 10
Lesson 39 Options pt. 6 22 21
Lesson 40 Accounts and Anti Money Laundering 29 33
Lesson 41 Accounts and Anti Money Laundering pt 2 14 32
Lesson 42 Account Registration and Anti Money Laundry Rules 16 38
Lesson 43 Client Types and Appropriate Investments 37 52
Lesson 44 Know Your Customer and Portfolio Strategies 30 1
Lesson 45 Investment Taxation 35 55
Lesson 46 IRA Accounts 31 39
Lesson 47 Keogh Plans and Defined Contribution Plans 26 4
Lesson 48 Defined Pension Plans and Contribution Plans 22 10
Lesson 49 Inherited IRA’s, Non Qualified Plans, ERISA, Investment Policy Statement 20 28
Lesson 50 UGTMA, Trusts and Wills, Qualified Domestic Relations order (QDROs) 22 39
Lesson 51 Trading Markets Pt 1 Markets and Order Tickets 25 40
Lesson 52 Trading Markets pt 2 Order Types, Specalists and Dealers 27 23
Lesson 53 Trading Markets pt 3 Rules 34 12
Lesson 54 Trading Markets pt 4 Options 12 35
Lesson 55 Securities act of 1933 and 144 stock 34 2
Lesson 56 Securities and Exchange Act of 1934 and Insider Trading 38 19
Lesson 57 Investment Company Act of 1940 11 22
Lesson 58 Sarbanes Oxley and Blue Sky Laws 22 28
Lesson 59 Investment Advisors Act of 1940 Pt 1 27 25
Lesson 60 Investment Advisors Act of 1940 Pt 2 24 43
Lesson 61 Investment Advisors Act of 1940 Pt 3 28 30
Series 66 Lesson 62 Series 63 Introduction 2 27
Series 66 Lesson 63 Customer Accounts 1 27 31
Series 66 Lesson 64 Customer Accounts 2 21 27
Series 66 Lesson 65 Customer Accounts 3 29 7
Series 66 Lesson 66 Business Practices 20 7
Series 66 Lesson 67 Reg Lic pt 1 18 19
Series 66 Lesson 68 Reg Lic pt 2 23 39
Series 66 Lesson 69 Reg Lic pt 3 22 1
Series 66 Lesson 70 Securities Registration 33 14
Series 66 Lesson 71 Administrative Procedures 21 56
You also may be interested in the Series 7 Exam
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Series 79 Exam Prep Audio Lessons
Series 79 Exam: The Investment Banking Representative Exam
Series 79 exam is a required exam to become an Investment Banking Representative. It was designed by FINRA in order to test your skills as an entry-level investment banker.
Once you have completed this certification, you will be able to advise people on a variety of things, including debit and equity offerings, tender offers, asset sales, mergers and acquisitions, and other such transactions. Passing this exam will show that you know the rules so that you can abide by them.
Table of Contents
Lesson 1: Test Overview (20:55)
Lesson 2: Data Analysis Skills (25:00)
Lesson 3 :Types of Communication (25:01)
Lesson 4: Financial Analysis pt 1 (26:20)
Lesson 5: Financial Analysis pt 2 (25:22)
Lesson 6: Valuation (26:57)
Lesson 7: Precedent Transactions (25:01)
Lesson 8: Risks (25:00)
Lesson 9: Types of Investors (25:04)
Lesson 10: Financing Transactions (26:12)
Lesson 11: Public Offerings (25:06)
Lesson 12: Issuers and Registration (25:08)
Lesson 13 :Prospectus Disclosures (25:06)
Lesson 14: Reporting (25:04)
Lesson 15: Underwriting (26:12)
Lesson 16: Rules (25:00)
Lesson 17: Research and Offerings (25:00)
Lesson 18: Regulations (25:03)
Lesson 19: Mergers and Acquisitions pt 1 (25:20)
Lesson 20: Mergers and Acquisitions pt 2 (25:01)
Lesson 21: Bankruptcy (27:23)
Lesson 22: Review (26:15)
Total Time 9 Hours 21 Min
Series 79 Exam Prep Audio Lessons
From the FINRA Website:
The Series 79 exam — the Investment Banking Representative Exam — assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
The Series 79 exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an investment banking representative, including advising on or facilitating debt or equity securities offerings through a private placement or a public offering and mergers and acquisitions.
Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 79 exam to obtain the Investment Banking Representative registration. For more information about the SIE and Series 79 exams, refer
You may also be interested in the Series 7 Exam
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SEO
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Series 79 Exam Prep
Series 79 Exam Prep Audio Lessons for the FINRA Series 79 the 79 exam is a required exam to become an Investment Banking Representative.
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Insurance Exam Life Health Lessons
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Insurance Exam Audio Study Guide
Insurance Exam Audio Study Guide
Life Health Exam
Total lesson listening time is 12 hours
This course is designed to help insurance professionals prepare to take the Life Health Insurance Exam through Listening to audio lessons. The advantages of audio lessons are obvious it allows the busy person to study while it would otherwise be impossible to be reading a book or sitting at a desk. Suddenly you can study while commuting, exercising, taking long walks etc.
http://www.insuranceexampodcast.com
By Franz Amussen
Narrated by Michael D Young
Insurance Exam Audio Study Guide
Life Health Exam
Life Health Study Guide Table of Contents
Lesson 1_Introduction to the Course
Lesson 2_Introduction to Insurance Part I
Lesson 3_Introduction to Insurance Part II
Lesson 4_Insurance Regulation
Lesson 5_Insurance Law
Lesson 6_Underwriting Basics
Lesson 7_Group Insurance
Lesson 8_Policy Issuance and Delivery
Lesson 9_Types of Life Insurance
Lesson 10_Insurance Provisions
Lesson 11_Riders and Waivers
Lesson 11_Riders and Waivers
Lesson 13_Group Life Insurance
Lesson 14_Retirement Plans
Lesson 15_Introduction to Health Insurance
Lesson 16_Introduction to Health Insurance Part II
Lesson 17_Health Insurance Policy Underwriting and Delivery
Lesson 18_Health Insurance Policy Provisions Part II
Lesson 19_Disability Income Insurance
Lesson 20- Disability Income Insurance Part II
Lesson 21_Medical Expense Insurance
Lesson 22 Major Medical Insurance
Lesson 23_Group Health Insurance
Lesson 24_Social Health Insurance
Lesson 25- Social Health Insurance Part II
Lesson 26- Long Term Care
Review Lesson 1
Review Lesson 2
Review Lesson 3
Review Lesson 4
Total Length 12 hours 6 seconds
Each of the fifty states requires life and health insurance professionals to attain licensing by passing the Life and Health Insurance examination.
There are eighteen content areas covered by the exam: insurance regulation (5%); general insurance (5%); life insurance basics (7%); life insurance policies (7%); life insurance policy provisions, options, and riders (8%); annuities (6%); federal tax considerations for life insurance and annuities (5%); qualified plans (4%); health insurance basics (5%); individual health insurance policy general provisions (4%); disability income and related insurance (3%); medical plans (8%); health maintenance organizations (3%); group health insurance (7%); dental insurance (2%); insurance for senior citizens and special needs individuals (8%); federal tax considerations for health insurance (3%); and additional considerations for life and health insurance counselors (10%). The questions on the Life and Health Insurance exam will be in three different multiple-choice formats: direct question, incomplete sentence, and “all of the following except.” Each question will have four possible answers from which the candidate must choose.
The examination has 150 questions, and must be completed in two and a half hours. Examinations are completed on a personal computer, and the results are immediately given to the candidate upon completion of the test. The score report will include the percentage of questions answered correctly, the overall score, and the decision as to whether the candidate has passed or failed the exam (in order to pass, candidates must answer 70% of the questions correctly).
Try out 5 free insurance audio lessons to see if they work for you!
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