SIE Exam Prep - Section 1 Knowledge of Capital Markets Tutoring Replay

Some test takers give permission for their tutoring session to be shared with others. We thank them for paying it forward.
Section 1: Knowledge of Capital Markets
1.1 Regulatory Entities, Agencies and Market Participants
1.1.1 The Securities and Exchange Commission (SEC)
• The high-level purpose and mission of securities regulation
• Definition, jurisdiction and authority of the SEC
1.1.2 Self-regulatory Organizations (SROs)
• Purpose and mission of an SRO
• Jurisdiction and authority of SROs (e.g., CBOE, FINRA, MSRB)
1.1.3 Other Regulators and Agencies
• Department of the Treasury/IRS
• State regulators (e.g., NASAA)
• The Federal Reserve
• Securities Investor Protection Corporation (SIPC)
• Federal Deposit Insurance Corporation (FDIC)
1.1.4 Market Participants and their Roles
• Investors (e.g., accredited, institutional, retail)
• Broker-Dealers (e.g., introducing, clearing, prime brokers)
• Investment advisers
• Municipal advisors
• Issuers and underwriters
• Traders and market makers
• Custodians and trustees
• Transfer agents
• Depositories and clearing corporations (e.g., Depository Trust & Clearing Corporation (DTCC), Options Clearing
Corporation (OCC))
1.2 Market Structure
1.2.1 Types of Markets
• The primary market
• The secondary market (e.g., electronic, over-the-counter (OTC), physical)
• The third market
• The fourth market
1.3 Economic Factors
1.3.1 The Federal Reserve Board’s Impact on Business Activity and Market Stability
• Monetary vs. fiscal policy
• Open market activities and impact on economy
• Different rates (e.g., interest rate, discount rate, federal funds rate

[@KTparty]

So thankful for your channel, you explain things so well! I have my SIE in 3 days so I am using your material to review- very helpful 👌🏻

[@Series7Guru]

Glad you are finding the channel helpful

[@jamaya8460]

Thank you for this! I have my test next week and using your videos to pass the SIE :)

[@Series7Guru]

Glad you are finding helpful.

[@Pmunz1]

Dean, what a fantastic resource you have created for these exams. Thank you for doing this, it’s been an immense help to me passing the SIE. Cheers from the lone tree campus, looking forward to studying your content for the 7

[@Series7Guru]

Thank you. I miss teaching classes on Lone Tree campus. Some day maybe I will be back.

[@Pmunz1]

I’d be glad to help make that happen somehow

[@docholliday9382]

Speaking of FTX, BBIG has a Board that has a mess too. Thanks for these videos. The more I watch the more confident I will pass.

[@Series7Guru]

Being confident is a difference maker for sure

[@RickDager]

Is there a tutoring replay for section 2? If not, what lecture would be best or most similar to this? Thanks!

[@Series7Guru]

kzbin.info/www/bejne/gZbKfXeAf7CAmMU

[@cassieparys1691]

Hi! Is there a section 2 video? I see 1&3

[@Series7Guru]

The student has it. Says he is going to let us post it, too.

[@annata1178]

Do you know when you will be able to post section 2? I take it in a few days and would love a refresher!

[@laurenmmiddleton5512]

@@Series7Guru Hi Dean, these are incredibly helpful. Did the student ever post Section 2? Thank you!

[@jaredm4258]

Hi, I want to take the test where do I start should I buy a book or practice test? Any suggestions would be greatly appreciated

[@Series7Guru]

Go to Kaplan. 15% discount code at checkout is Guru15

[@theluckshow9617]

I averaged a 73 in pass perfect. My SIE exam is next week. 🤞🏽

[@Series7Guru]

That will get it done.

[@lesliewebsterjr.2818]

where's is section 2?

[@Series7Guru]

Don't think we did section 2

[@lesliewebsterjr.2818]

@@Series7Guru ok

[@ruchikabhoyar8264]

I got 80 85 and 78 % in STC Practice test second attempt i m not sure about appearing for exam. Could you please suggest

[@Series7Guru]

Take the test!

[@ruchikabhoyar8264]

@@Series7Guru thank you. Your videos are so helpful

[@lucasdesouza2120]

Where can I find the first lecture ?

[@lucasdesouza2120]

Because this one is starting on 3.1

[@Series7Guru]

Go to the first SIE playlist on the home page.

[@lucasdesouza2120]

Can’t find section 2 is that not posted ?

[@colbybruny5239]

I have my exam in 2 days hopefully I passed failed twice by 4 points

[@Series7Guru]

You got this!