FINRA SIE Study report
Duane Wright (duanewright823@gmail.com)
Study time breakdown
Study progress
Study plan
Target date: Sunday, January 4th
Pending
Sunday, Jan 4th
Exam day! You've got this :-)
Summaries
Quiz summary
Scores based on questions completed in the past 7 days
Exam summary
Scores based on questions completed in the past 7 days
Practice exams list
name | status | completed | time spent | score | summary | config | activity |
|---|---|---|---|---|---|---|---|
SIE full exam | pass | 1-7-2026 9:27pm | 49% 52/105m | 79%, 59/75 | - | - | |
SIE full exam | pass | 1-5-2026 9:26pm | 51% 54/105m | 84%, 63/75 | |||
SIE full exam | pass | 1-5-2026 12:22am | 44% 46/105m | 80%, 60/75 | |||
SIE full exam | pass | 1-4-2026 11:26pm | 51% 54/105m | 84%, 63/75 | |||
SIE full exam | pass | 1-4-2026 10:10pm | 47% 50/105m | 79%, 59/75 | |||
Final exam B | pass | 1-3-2026 5:49pm | 50% 52/105m | 96%, 72/75 | - | ||
Final exam B | warn | 1-2-2026 10:21pm | 75% 79/105m | 73%, 55/75 | |||
Final exam A | pass | 1-2-2026 9:01pm | 35% 36/105m | 96%, 72/75 | |||
Final exam A | warn | 1-2-2026 8:23pm | 1139% 1196/105m | 73%, 55/75 | - | ||
Chapters 9 to 15 | pass | 1-2-2026 12:16am | 31% 19/60m | 90%, 36/40 | - | ||
Chapters 9 to 15 | warn | 1-1-2026 11:54pm | 33% 20/60m | 75%, 30/40 | - | - | |
Midterm 2 exam | pass | 1-1-2026 9:03pm | 24% 15/60m | 100%, 40/40 | - | ||
Midterm 2 exam | pass | 12-31-2025 4:42pm | 82% 49/60m | 88%, 35/40 | - | ||
Chapters 12 to 15 | pass | 12-31-2025 3:47pm | 91% 55/60m | 90%, 36/40 | - | ||
Rules and ethics | pass | 12-30-2025 11:44pm | 21% 6/30m | 90%, 18/20 | - | ||
Rules and ethics | pass | 12-30-2025 11:33pm | 27% 8/30m | 85%, 17/20 | - | ||
Retirement and education plans | pass | 12-29-2025 6:34pm | 17% 5/30m | 95%, 19/20 | - | ||
Retirement and education plans | pass | 12-29-2025 6:28pm | 24% 7/30m | 80%, 16/20 | - | ||
Retirement and education plans | pass | 12-29-2025 6:19pm | 29% 9/30m | 80%, 16/20 | - | ||
Brokerage accounts | pass | 12-29-2025 3:00am | 28% 8/30m | 100%, 20/20 | - | ||
The secondary market | pass | 12-27-2025 11:26pm | 25% 7/30m | 95%, 19/20 | - | ||
The secondary market | pass | 12-27-2025 11:17pm | 17% 5/30m | 85%, 17/20 | - | ||
Chapters 9 to 11 | pass | 12-27-2025 5:56pm | 28% 17/60m | 98%, 39/40 | - | ||
Chapters 9 to 11 | pass | 12-27-2025 1:52am | 29% 18/60m | 83%, 33/40 | - | ||
The primary market | pass | 12-27-2025 1:34am | 15% 4/30m | 90%, 18/20 | - | ||
The primary market | warn | 12-27-2025 1:29am | 22% 7/30m | 75%, 15/20 | - | ||
Taxes | pass | 12-24-2025 11:01pm | 22% 7/30m | 90%, 18/20 | - | ||
Options | pass | 12-24-2025 10:54pm | 33% 10/30m | 90%, 18/20 | - | ||
Options | pass | 12-24-2025 10:40pm | 32% 10/30m | 85%, 17/20 | - | ||
Chapters 1 to 8 | pass | 12-22-2025 8:28pm | 27% 16/60m | 98%, 39/40 | |||
Chapters 1 to 8 | pass | 12-22-2025 7:51pm | 40% 24/60m | 88%, 35/40 | - | ||
Chapters 1 to 8 | pass | 12-22-2025 6:49pm | 26% 15/60m | 85%, 34/40 | - | ||
Chapters 1 to 8 | warn | 12-22-2025 6:31pm | 35% 21/60m | 75%, 30/40 | - | ||
Chapters 1 to 8 | warn | 12-22-2025 6:07pm | 25% 15/60m | 73%, 29/40 | - | ||
Midterm 1 exam | pass | 12-22-2025 12:50am | 18% 11/60m | 98%, 39/40 | - | ||
Midterm 1 exam | pass | 12-22-2025 12:32am | 42% 25/60m | 88%, 35/40 | - | ||
Chapters 5 to 8 | pass | 12-22-2025 12:03am | 17% 10/60m | 90%, 36/40 | - | ||
Chapters 5 to 8 | warn | 12-21-2025 11:37pm | 35% 21/60m | 70%, 28/40 | - | ||
Alternative pooled investments | pass | 12-21-2025 11:11pm | 13% 4/30m | 95%, 19/20 | - | ||
Investment companies | pass | 12-21-2025 11:07pm | 17% 5/30m | 90%, 18/20 | - | ||
Investment companies | warn | 12-21-2025 10:54pm | 23% 7/30m | 75%, 15/20 | - | ||
US government debt | pass | 12-16-2025 6:59am | 20% 6/30m | 90%, 18/20 | - | ||
US government debt | warn | 12-16-2025 6:49am | 26% 8/30m | 70%, 14/20 | - | ||
US government debt | pass | 12-16-2025 6:37am | 33% 10/30m | 85%, 17/20 | - | ||
Municipal debt | pass | 12-16-2025 5:19am | 30% 9/30m | 95%, 19/20 | - | ||
Municipal debt | pass | 12-16-2025 5:06am | 23% 7/30m | 85%, 17/20 | - | ||
Chapters 1 to 4 | pass | 12-12-2025 8:55pm | 21% 13/60m | 100%, 40/40 | - | ||
Chapters 1 to 4 | pass | 12-12-2025 8:40pm | 57% 34/60m | 78%, 31/40 | |||
Corporate debt | pass | 12-12-2025 6:42pm | 35% 11/30m | 95%, 19/20 | - | ||
Corporate debt | pass | 12-12-2025 6:29pm | 22% 7/30m | 85%, 17/20 | - | ||
Bond fundamentals | pass | 12-12-2025 12:45am | 71% 21/30m | 90%, 18/20 | - | ||
Bond fundamentals | pass | 12-12-2025 12:23am | 34% 10/30m | 80%, 16/20 | - | ||
Preferred stock | pass | 12-10-2025 10:26pm | 63% 19/30m | 90%, 18/20 | |||
Common stock | pass | 12-10-2025 10:06pm | 39% 12/30m | 90%, 18/20 | - | ||
Common stock | pass | 12-10-2025 9:50pm | 51% 15/30m | 80%, 16/20 | - | - | |
Common stock | pass | 12-10-2025 9:33pm | 56% 17/30m | 85%, 17/20 | |||
Common stock | warn | 12-10-2025 9:12pm | 52% 16/30m | 70%, 14/20 | - | ||
SIE full exam | fail | 12-4-2025 8:22pm | 68% 72/105m | 39%, 29/75 | |||
Options | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
Chapters 5 to 8 | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
US government debt | - | Incomplete | - | - | - | - | |
Options | - | Incomplete | - | - | - | - | |
Chapters 9 to 15 | - | Incomplete | - | - | - | - | - |
Corporate debt | - | Incomplete | - | - | - | - | |
US government debt | - | Incomplete | - | - | - | - | |
Municipal debt | - | Incomplete | - | - | - | - | |
Chapters 9 to 15 | - | Incomplete | - | - | - | - | |
Common stock | - | Incomplete | - | - | - | - | |
Chapters 5 to 8 | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | - |
US government debt | - | Incomplete | - | - | - | - | |
Municipal debt | - | Incomplete | - | - | - | - | |
Options | - | Incomplete | - | - | - | - | |
US government debt | - | Incomplete | - | - | - | - | |
US government debt | - | Incomplete | - | - | - | - | |
Municipal debt | - | Incomplete | - | - | - | - | |
Municipal debt | - | Incomplete | - | - | - | - | |
Retirement and education plans | - | Incomplete | - | - | - | - | |
Common stock | - | Incomplete | - | - | - | - | |
Common stock | - | Incomplete | - | - | - | - | - |
Municipal debt | - | Incomplete | - | - | - | - | |
Chapters 9 to 15 | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
Bond fundamentals | - | Incomplete | - | - | - | - | - |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
Corporate debt | - | Incomplete | - | - | - | - | |
Chapters 9 to 15 | - | Incomplete | - | - | - | - | |
Common stock | - | Incomplete | - | - | - | - | - |
Common stock | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
Rules and ethics | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
US government debt | - | Incomplete | - | - | - | - | |
Options | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
The secondary market | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - | |
Chapters 1 to 8 | - | Incomplete | - | - | - | - |
SIE full exam
Status
pass
Completed
1-7-2026 9:27pm
Time spent
49%
52/105mScore
79%, 59/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
1-5-2026 9:26pm
Time spent
51%
54/105mScore
84%, 63/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
1-5-2026 12:22am
Time spent
44%
46/105mScore
80%, 60/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
1-4-2026 11:26pm
Time spent
51%
54/105mScore
84%, 63/75
Summary
Config
Activity
SIE full exam
Status
pass
Completed
1-4-2026 10:10pm
Time spent
47%
50/105mScore
79%, 59/75
Summary
Config
Activity
Final exam B
Status
pass
Completed
1-3-2026 5:49pm
Time spent
50%
52/105mScore
96%, 72/75
Summary
Config
Activity
Final exam B
Status
warn
Completed
1-2-2026 10:21pm
Time spent
75%
79/105mScore
73%, 55/75
Summary
Config
Activity
Final exam A
Status
pass
Completed
1-2-2026 9:01pm
Time spent
35%
36/105mScore
96%, 72/75
Summary
Config
Activity
Final exam A
Status
warn
Completed
1-2-2026 8:23pm
Time spent
1139%
1196/105mScore
73%, 55/75
Summary
Config
Activity
Chapters 9 to 15
Status
pass
Completed
1-2-2026 12:16am
Time spent
31%
19/60mScore
90%, 36/40
Summary
Config
Activity
Chapters 9 to 15
Status
warn
Completed
1-1-2026 11:54pm
Time spent
33%
20/60mScore
75%, 30/40
Summary
Config
Activity
Midterm 2 exam
Status
pass
Completed
1-1-2026 9:03pm
Time spent
24%
15/60mScore
100%, 40/40
Summary
Config
Activity
Midterm 2 exam
Status
pass
Completed
12-31-2025 4:42pm
Time spent
82%
49/60mScore
88%, 35/40
Summary
Config
Activity
Chapters 12 to 15
Status
pass
Completed
12-31-2025 3:47pm
Time spent
91%
55/60mScore
90%, 36/40
Summary
Config
Activity
Rules and ethics
Status
pass
Completed
12-30-2025 11:44pm
Time spent
21%
6/30mScore
90%, 18/20
Summary
Config
Activity
Rules and ethics
Status
pass
Completed
12-30-2025 11:33pm
Time spent
27%
8/30mScore
85%, 17/20
Summary
Config
Activity
Retirement and education plans
Status
pass
Completed
12-29-2025 6:34pm
Time spent
17%
5/30mScore
95%, 19/20
Summary
Config
Activity
Retirement and education plans
Status
pass
Completed
12-29-2025 6:28pm
Time spent
24%
7/30mScore
80%, 16/20
Summary
Config
Activity
Retirement and education plans
Status
pass
Completed
12-29-2025 6:19pm
Time spent
29%
9/30mScore
80%, 16/20
Summary
Config
Activity
Brokerage accounts
Status
pass
Completed
12-29-2025 3:00am
Time spent
28%
8/30mScore
100%, 20/20
Summary
Config
Activity
The secondary market
Status
pass
Completed
12-27-2025 11:26pm
Time spent
25%
7/30mScore
95%, 19/20
Summary
Config
Activity
The secondary market
Status
pass
Completed
12-27-2025 11:17pm
Time spent
17%
5/30mScore
85%, 17/20
Summary
Config
Activity
Chapters 9 to 11
Status
pass
Completed
12-27-2025 5:56pm
Time spent
28%
17/60mScore
98%, 39/40
Summary
Config
Activity
Chapters 9 to 11
Status
pass
Completed
12-27-2025 1:52am
Time spent
29%
18/60mScore
83%, 33/40
Summary
Config
Activity
The primary market
Status
pass
Completed
12-27-2025 1:34am
Time spent
15%
4/30mScore
90%, 18/20
Summary
Config
Activity
The primary market
Status
warn
Completed
12-27-2025 1:29am
Time spent
22%
7/30mScore
75%, 15/20
Summary
Config
Activity
Taxes
Status
pass
Completed
12-24-2025 11:01pm
Time spent
22%
7/30mScore
90%, 18/20
Summary
Config
Activity
Options
Status
pass
Completed
12-24-2025 10:54pm
Time spent
33%
10/30mScore
90%, 18/20
Summary
Config
Activity
Options
Status
pass
Completed
12-24-2025 10:40pm
Time spent
32%
10/30mScore
85%, 17/20
Summary
Config
Activity
Chapters 1 to 8
Status
pass
Completed
12-22-2025 8:28pm
Time spent
27%
16/60mScore
98%, 39/40
Summary
Config
Activity
Chapters 1 to 8
Status
pass
Completed
12-22-2025 7:51pm
Time spent
40%
24/60mScore
88%, 35/40
Summary
Config
Activity
Chapters 1 to 8
Status
pass
Completed
12-22-2025 6:49pm
Time spent
26%
15/60mScore
85%, 34/40
Summary
Config
Activity
Chapters 1 to 8
Status
warn
Completed
12-22-2025 6:31pm
Time spent
35%
21/60mScore
75%, 30/40
Summary
Config
Activity
Chapters 1 to 8
Status
warn
Completed
12-22-2025 6:07pm
Time spent
25%
15/60mScore
73%, 29/40
Summary
Config
Activity
Midterm 1 exam
Status
pass
Completed
12-22-2025 12:50am
Time spent
18%
11/60mScore
98%, 39/40
Summary
Config
Activity
Midterm 1 exam
Status
pass
Completed
12-22-2025 12:32am
Time spent
42%
25/60mScore
88%, 35/40
Summary
Config
Activity
Chapters 5 to 8
Status
pass
Completed
12-22-2025 12:03am
Time spent
17%
10/60mScore
90%, 36/40
Summary
Config
Activity
Chapters 5 to 8
Status
warn
Completed
12-21-2025 11:37pm
Time spent
35%
21/60mScore
70%, 28/40
Summary
Config
Activity
Alternative pooled investments
Status
pass
Completed
12-21-2025 11:11pm
Time spent
13%
4/30mScore
95%, 19/20
Summary
Config
Activity
Investment companies
Status
pass
Completed
12-21-2025 11:07pm
Time spent
17%
5/30mScore
90%, 18/20
Summary
Config
Activity
Investment companies
Status
warn
Completed
12-21-2025 10:54pm
Time spent
23%
7/30mScore
75%, 15/20
Summary
Config
Activity
US government debt
Status
pass
Completed
12-16-2025 6:59am
Time spent
20%
6/30mScore
90%, 18/20
Summary
Config
Activity
US government debt
Status
warn
Completed
12-16-2025 6:49am
Time spent
26%
8/30mScore
70%, 14/20
Summary
Config
Activity
US government debt
Status
pass
Completed
12-16-2025 6:37am
Time spent
33%
10/30mScore
85%, 17/20
Summary
Config
Activity
Municipal debt
Status
pass
Completed
12-16-2025 5:19am
Time spent
30%
9/30mScore
95%, 19/20
Summary
Config
Activity
Municipal debt
Status
pass
Completed
12-16-2025 5:06am
Time spent
23%
7/30mScore
85%, 17/20
Summary
Config
Activity
Chapters 1 to 4
Status
pass
Completed
12-12-2025 8:55pm
Time spent
21%
13/60mScore
100%, 40/40
Summary
Config
Activity
Chapters 1 to 4
Status
pass
Completed
12-12-2025 8:40pm
Time spent
57%
34/60mScore
78%, 31/40
Summary
Config
Activity
Corporate debt
Status
pass
Completed
12-12-2025 6:42pm
Time spent
35%
11/30mScore
95%, 19/20
Summary
Config
Activity
Corporate debt
Status
pass
Completed
12-12-2025 6:29pm
Time spent
22%
7/30mScore
85%, 17/20
Summary
Config
Activity
Bond fundamentals
Status
pass
Completed
12-12-2025 12:45am
Time spent
71%
21/30mScore
90%, 18/20
Summary
Config
Activity
Bond fundamentals
Status
pass
Completed
12-12-2025 12:23am
Time spent
34%
10/30mScore
80%, 16/20
Summary
Config
Activity
Preferred stock
Status
pass
Completed
12-10-2025 10:26pm
Time spent
63%
19/30mScore
90%, 18/20
Summary
Config
Activity
Common stock
Status
pass
Completed
12-10-2025 10:06pm
Time spent
39%
12/30mScore
90%, 18/20
Summary
Config
Activity
Common stock
Status
pass
Completed
12-10-2025 9:50pm
Time spent
51%
15/30mScore
80%, 16/20
Summary
Config
Activity
Common stock
Status
pass
Completed
12-10-2025 9:33pm
Time spent
56%
17/30mScore
85%, 17/20
Summary
Config
Activity
Common stock
Status
warn
Completed
12-10-2025 9:12pm
Time spent
52%
16/30mScore
70%, 14/20
Summary
Config
Activity
SIE full exam
Status
fail
Completed
12-4-2025 8:22pm
Time spent
68%
72/105mScore
39%, 29/75
Summary
Config
Activity
Options
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 5 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
US government debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Options
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 9 to 15
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Corporate debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
US government debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Municipal debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 9 to 15
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Common stock
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 5 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
US government debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Municipal debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Options
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
US government debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
US government debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Municipal debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Municipal debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Retirement and education plans
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Common stock
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Common stock
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Municipal debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 9 to 15
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Bond fundamentals
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Corporate debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 9 to 15
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Common stock
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Common stock
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Rules and ethics
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
US government debt
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Options
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
The secondary market
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Chapters 1 to 8
Status
Completed
Incomplete
Time spent
Score
Summary
Config
Activity
Textbook progress
Spent
26h 15m
reading and completed149/149
pagesTimes shown as:
Observed
/ Expected
Introduction
7m 36s
/ 1m 39s
1. Common stock
1.1 Basic characteristics
18m 11s
/ 6m 17s
1.2 Rights of common stockholders
1.2.1 Pro-rata share of dividends
32m 22s
/ 5m 20s
1.2.2 Board of Directors
15m 13s
/ 3m 21s
1.2.3 Inspection of books and records
2m 15s
/ 49s
1.2.4 Maintaining proportionate ownership
40m 2s
/ 12m 15s
1.2.5 Stock splits
31m 27s
/ 6m 17s
1.2.6 Assets upon liquidation
13m 2s
/ 3m 42s
1.2.7 Transfer ownership
10m 42s
/ 1m 36s
1.3 Trading
1.3.1 Negotiable or redeemable
2m 22s
/ 1m 47s
1.3.2 The primary & secondary market
11m 45s
/ 9m 4s
1.3.3 Settlement
8m 54s
/ 6m 14s
1.3.4 Cash dividends
13m 15s
/ 6m 56s
1.3.5 Selling short
8m 26s
/ 5m 19s
1.3.6 American Depositary Receipts
5m 44s
/ 5m 37s
1.3.7 Tender offers & buybacks
7m 45s
/ 6m 0s
1.4 Suitability
22m 9s
/ 14m 57s
1.5 Fundamental analysis
28m 42s
/ 10m 46s
2. Preferred stock
2.1 Basic characteristics
23m 28s
/ 14m 42s
2.2 Features
21m 4s
/ 13m 34s
2.3 Suitability
9m 47s
/ 7m 44s
3. Debt securities
3.1 Basic characteristics
11m 56s
/ 10m 58s
3.2 Issuance & underwriting
25m 3s
/ 5m 12s
3.3 Trading
18m 26s
/ 14m 17s
3.4 Features
13m 11s
/ 7m 6s
3.5 Yield
22m 19s
/ 13m 53s
3.6 Suitability
11m 25s
/ 10m 45s
4. Corporate debt
4.1 Short-term products
5m 39s
/ 4m 26s
4.2 Long-term products
13m 32s
/ 7m 58s
4.3 Convertible products
27m 16s
/ 8m 23s
4.4 Liquidation policy
2m 8s
/ 2m 23s
4.5 The market & quotes
8m 36s
/ 5m 46s
4.6 Bank issues
10m 18s
/ 7m 43s
4.7 Eurodollars & Eurobonds
28m 34s
/ 6m 25s
5. Municipal debt
5.1 Foundations & taxation
37m 28s
/ 3m 18s
5.2 General obligation (G.O.) bonds
20m 4s
/ 11m 56s
5.3 Revenue bonds
2m 36s
/ 1m 45s
5.4 Short-term notes
5m 37s
/ 4m 54s
5.5 Trading
2m 16s
/ 3m 19s
5.6 Suitability
3m 50s
/ 2m 45s
6. US government debt
6.1 Foundations
3m 7s
/ 2m 31s
6.2 Treasury products
20m 44s
/ 9m 48s
6.3 Federal agency products
11m 19s
/ 8m 3s
6.4 The market
13m 4s
/ 8m 55s
6.5 The Federal Reserve
6.5.1 Monetary policy
6m 20s
/ 4m 40s
6.5.2 Rates
3m 54s
/ 3m 50s
6.5.3 Tools of the Federal Reserve
13m 16s
/ 5m 16s
6.5.4 Economic factors
38m 40s
/ 17m 10s
6.5.5 Fiscal policy
14m 53s
/ 5m 52s
7. Investment companies
7.1 Foundations
6m 5s
/ 2m 51s
7.2 Types of funds
13m 43s
/ 13m 14s
7.3 Open-end management companies
7.3.1 Characteristics
15m 53s
/ 12m 51s
7.3.2 Shareholder rights
14m 35s
/ 9m 21s
7.3.3 Transactions
27m 22s
/ 12m 3s
7.3.4 Returns
6m 24s
/ 5m 7s
7.3.5 Share classes
15m 59s
/ 12m 42s
7.3.6 Subchapter M
6m 0s
/ 1m 55s
7.4 Closed-end management companies
7m 15s
/ 4m 22s
7.5 Exchange traded products
7.5.1 Passive ETFs
16m 28s
/ 6m 12s
7.5.2 Other ETFs
7m 42s
/ 5m 5s
7.5.3 Exchange traded notes
3m 51s
/ 2m 34s
7.6 Unit investment trusts
5m 28s
/ 4m 7s
7.7 Alpha and beta
8m 11s
/ 6m 29s
8. Alternative pooled investments
8.1 Real estate investment trusts (REITs)
6m 53s
/ 5m 21s
8.2 Hedge funds
1m 53s
/ 3m 12s
8.3 Direct participation programs
12m 18s
/ 7m 12s
9. Options
9.1 Fundamentals
14m 55s
/ 9m 58s
9.2 Contracts and the market
9.2.1 Issuance & the market
11m 24s
/ 7m 55s
9.2.2 Options contracts
8m 35s
/ 9m 44s
9.2.3 Premiums & exercise
21m 41s
/ 9m 27s
9.2.4 Stock split & dividend adjustments
14m 34s
/ 9m 27s
9.3 Strategies
9.3.1 Long calls
9m 15s
/ 5m 32s
9.3.2 Short calls
13m 21s
/ 7m 4s
9.3.3 Long puts
15m 30s
/ 6m 21s
9.3.4 Short puts
4m 17s
/ 8m 52s
9.3.5 Hedging strategies
29m 31s
/ 10m 14s
9.3.6 Income strategies
24m 35s
/ 10m 14s
9.3.7 Index options
24m 34s
/ 8m 29s
10. Taxes
10.1 Dividends
19m 40s
/ 6m 33s
10.2 Interest
3m 4s
/ 1m 59s
10.3 Capital gains
4m 27s
/ 4m 12s
11. The primary market
11.1 Roles
7m 52s
/ 3m 18s
11.2 Underwriting commitments
3m 6s
/ 2m 58s
11.3 Types of offerings
3m 57s
/ 3m 56s
11.4 The IPO process
11.4.1 Overview
1m 11s
/ 56s
11.4.2 Preparing for the sale
8m 23s
/ 4m 53s
11.4.3 Effective registration
6m 42s
/ 4m 17s
11.4.4 Exemptions
41m 15s
/ 13m 29s
11.5 Rule 144
19m 33s
/ 5m 8s
11.6 Other rules
12m 37s
/ 4m 35s
12. The secondary market
12.1 Agency vs. principal capacity
1m 56s
/ 3m 6s
12.2 Roles
4m 43s
/ 4m 36s
12.3 Bid & ask
3m 56s
/ 2m 51s
12.4 The markets
12.4.1 The New York Stock Exchange
2m 4s
/ 3m 31s
12.4.2 NASDAQ
2m 21s
/ 2m 9s
12.4.3 Other OTC markets
3m 57s
/ 3m 27s
12.4.4 Chicago Board Options Exchange
46s
/ 13s
12.5 The Securities Exchange Act of 1934
7m 1s
/ 5m 17s
12.6 Customer orders
12.6.1 Market orders
5m 8s
/ 1m 59s
12.6.2 Limit orders
4m 39s
/ 2m 48s
12.6.3 Stop orders
6m 53s
/ 4m 36s
12.6.4 Stop limit orders
6m 54s
/ 4m 3s
12.6.5 Summary of the order types
6m 16s
/ 3m 35s
12.6.6 Additional order specifications
3m 30s
/ 1m 29s
12.6.7 Customer order rules
11m 14s
/ 1m 39s
13. Brokerage accounts
13.1 Fundamentals
13.1.1 Statements
2m 19s
/ 1m 43s
13.1.2 Trade confirmations
1m 2s
/ 49s
13.1.3 Customer complaints
5m 35s
/ 2m 34s
13.2 New accounts
13.2.1 Required customer information
3m 9s
/ 3m 51s
13.2.2 Optional customer information
2m 41s
/ 46s
13.2.3 Account opening
2m 52s
/ 2m 31s
13.3 Account registrations
13.3.1 Individual accounts
9m 39s
/ 6m 6s
13.3.2 Joint accounts
4m 34s
/ 2m 17s
13.3.3 Power of attorney
2m 36s
/ 1m 21s
13.3.4 Discretionary accounts
4m 0s
/ 3m 12s
13.3.5 Custodial accounts
3m 54s
/ 2m 32s
13.3.6 Guardianship accounts
49s
/ 53s
13.3.7 Trust accounts
1m 35s
/ 1m 52s
13.3.8 Business accounts
3m 51s
/ 1m 21s
13.3.9 Prime brokerage accounts
1m 39s
/ 1m 3s
13.4 Margin accounts
13.4.1 Overview
2m 20s
/ 1m 24s
13.4.2 Opening a margin account
5m 45s
/ 3m 7s
13.4.3 Deposit requirements
13m 10s
/ 9m 15s
13.4.4 Equity
14m 55s
/ 9m 40s
13.4.5 Minimum maintenance
9m 4s
/ 5m 28s
13.5 Options accounts
7m 0s
/ 7m 44s
13.6 Other account specifications
13.6.1 SIPC insurance
2m 28s
/ 1m 42s
13.6.2 Business continuity plans
1m 33s
/ 39s
14. Retirement & education plans
14.1 Generalities
10m 48s
/ 7m 45s
14.2 Rules
6m 19s
/ 3m 59s
14.3 Workplace plans
20m 56s
/ 10m 24s
14.4 Individual retirement accounts (IRAs)
11m 10s
/ 11m 22s
14.5 Variable life insurance
8m 7s
/ 8m 3s
14.6 Variable annuities
27m 39s
/ 16m 27s
14.7 Education & other plans
7m 47s
/ 9m 41s
15. Rules & ethics
15.1 The regulators
21m 28s
/ 14m 27s
15.2 Prohibited activities
15.2.1 Market manipulation
5m 57s
/ 3m 42s
15.2.2 Unethical activities
6m 33s
/ 5m 25s
15.2.3 Insider trading
7m 27s
/ 2m 9s
15.3 Ethical duties
15.3.1 Protecting vulnerable investors
2m 36s
/ 7m 16s
15.3.2 Recognizing illegal activities
4m 2s
/ 5m 5s
15.4 Other laws & regulations
15.4.1 Regulations
2m 18s
/ 1m 45s
15.4.2 Telephone Consumer Protection Act
2m 57s
/ 2m 11s
15.4.3 Public communications
2m 10s
/ 1m 51s
15.4.4 Proxy rules
1m 26s
/ 1m 52s
15.4.5 Licenses & CE
4m 56s
/ 6m 15s
15.4.6 Registered representative rules
4m 11s
/ 7m 33s
15.4.7 Record retention requirements
3m 45s
/ 4m 14s
Wrapping up
5m 50s
/ 7m 12s
FINRA SIE User activity
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