To provide training and review key concepts for the SIE exam
Key Takeaways- Reviewed mutual funds, options, margin accounts, and other key topics
- Practiced sample exam questions and discussed correct answers/reasoning
- Instructor will hold an additional 1-hour Q&A session on Sunday or Monday evening
- Participants should focus on additional reading and knowledge building in the final week before the exam
- Reviewed A, B, and C share classes and their fee structures
- Discussed breakpoints, rights of accumulation, and letter of intent
- Covered NAV calculation, forward pricing, and prospectus requirements
- Reviewed call and put options, including max gain/loss scenarios
- Practiced calculating breakeven points for various option strategies
- Discussed index options and cash settlement
- Reviewed Regulation T 50% initial margin requirement
- Discussed maintenance margin requirements (25% for long positions, 30% for short)
- Covered minimum equity requirement of $2,000
- Reviewed market orders, limit orders, stop orders, and stop limit orders
- Practiced identifying appropriate order types for different scenarios
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