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SIE Exam Prep Capital Markets. 12 questions. Explicated.

Here is the next one after this    • SIE Exam Prep Investment Risks 33 Que...   Time stamps: 00:00 Intro 1:54 1933 Act. The prospectus or paper act. 2:55 1934 Act. The people and places act. 4:49 FINRA 4:54 Code of arbitration 5:09 Code of conduct 6:13 Uniform practice code 6:51 BRAIN FART CORPORATE AND MUNIS ARE T + 2 AND GOVIES ARE T + 1!!!! 7:49 MSRB Rule G 37 9:38 FINCEN. Bank Secrecy Act. Currency Transaction Reports (CTRs) for more than $10,000. 10:38 Stages of money laundering. Placement, layering, and integration. 11:00 Suspicious Activity Report (SAR) for $5,000 or more 12:22 NASAA. Blue sky. 13:58 Federal Reserve Board (FRB) 14:50 SIPC 15:50 FDIC 16:35 Exemptions or "safe harbors" from '33. 16:35 Reg D Private Placements. Accredited investors. 20:30 Qualified Institutional Buyers (QIBs) 22:04 PIPEs. Private Investments in Public Entities. 23:31 Introducing and clearing brokers 24:40 Prime brokers. 25:49 Investment Advisors 27:21 Municipal advisors 28:30 Three types of issuers: Corporate, Municipal, and US Treasury 29:12 Primary versus secondary 29:47 Traders and market makers 31:21 Transfer agent 31:42 Option Clearing Corporation (OCC) 34:19 Third market 35:10 Fourth market 38:32 Monetary policy 38:52 Fiscal policy 40:14 Discount rate 40:36 Fed funds rate 41:15 Financial statements 42:02 Business cycle. Definition of recession and depression. 43:56 Defensive stocks 44:35 Lord John Maynard Keynes. Keynesian theory. 47:15 Spot rate 48:56 Shelf registrations 49:31 Best efforts versus firm commitment underwritings 51:25 Blue sky