All Episodes

Series 7 Exam Prep 72, Securities Act of 1933

Series 7 Exam Prep 71, FINRA, SEC, MSRB, and Regulatory Bodies

Series 7 Exam Prep 70, Insider Trading and Market Manipulation

Series 7 Exam Prep 69, Prohibited Activities and Sales Practice Violations

Series 7 Exam Prep 68, Senior Investors and Financial Exploitation

Series 7 Exam Prep 67, Anti-Money Laundering and Suspicious Activity

Series 7 Exam Prep 66, Research Reports and Quiet Periods

Series 7 Exam Prep 65, Communications with the Public

Series 7 Exam Prep 64, Customer Protection and SIPC

Series 7 Exam Prep 63, Market Makers, Specialists, and Trading Venues

Series 7 Exam Prep 62, Primary and Secondary Markets

Series 7 Exam Prep 61, ACATS and Account Transfers

Series 7 Exam Prep 60, Customer Confirmations and Account Statements

Series 7 Exam Prep 59, Settlement, Ex-Dividend, and Due Bills

Series 7 Exam Prep 58, Short Sales and Regulation SHO

Series 7 Exam Prep 57, Order Handling and Best Execution

Series 7 Exam Prep 56, Order Types

Series 7 Exam Prep 55, Portfolio Margin and Special Margin Risks

Series 7 Exam Prep 54, Short Margin Calculations

Series 7 Exam Prep 53, Long Margin Calculations

Series 7 Exam Prep 52, Margin Account Fundamentals

Series 7 Exam Prep 51, Options Taxation and Exercise

Series 7 Exam Prep 50, Options Disclosure and Account Approval

Series 7 Exam Prep 49, Options Hedging and Income Strategies

Series 7 Exam Prep 48, Straddles and Combinations

Series 7 Exam Prep 47, Options Spreads

Series 7 Exam Prep 46, Covered Calls and Protective Puts

Series 7 Exam Prep 45, Short Calls and Short Puts

Series 7 Exam Prep 44, Long Calls and Long Puts

Series 7 Exam Prep 43, Options Contract Basics

Series 7 Exam Prep 42, Variable Life and Insurance Products

Series 7 Exam Prep 41, Variable Annuity Suitability and Exchanges

Series 7 Exam Prep 40, Variable Annuities Basics

Series 7 Exam Prep 39, ETFs, Closed-End Funds, and UITs

Series 7 Exam Prep 38, Mutual Fund Taxation and Distributions

Series 7 Exam Prep 37, Mutual Fund Share Classes and Sales Charges

Series 7 Exam Prep 36, Mutual Fund Structure and NAV

Series 7 Exam Prep 35, Alternative Investments and Hedge Funds

Series 7 Exam Prep 34, Direct Participation Programs

Series 7 Exam Prep 33, Money Market Instruments and Short-Term Debt

Series 7 Exam Prep 32, Municipal New Issues and Underwriting

Series 7 Exam Prep 31, Municipal Bond Taxation

Series 7 Exam Prep 30, Municipal Bond Credit Analysis

Series 7 Exam Prep 29, Municipal Bond Basics

Series 7 Exam Prep 28, Mortgage-Backed Securities and CMOs

Series 7 Exam Prep 27, Government Securities

Series 7 Exam Prep 26, Bond Ratings and Credit Risk

Series 7 Exam Prep 25, Callable, Putable, and Convertible Bonds

Series 7 Exam Prep 24, Yield Calculations and Bond Math

Series 7 Exam Prep 23, Bond Pricing and Yield Relationships

Series 7 Exam Prep 22, Corporate Bond Basics

Series 7 Exam Prep 21, Equity Valuation and Market Analysis

Series 7 Exam Prep 20, REITs and Real Estate Securities

Series 7 Exam Prep 19, ADRs, Foreign Securities, and Currency Risk

Series 7 Exam Prep 18, Rights, Warrants, and Dilution

Series 7 Exam Prep 17, Preferred Stock Features

Series 7 Exam Prep 16, Common Stock Basics

Series 7 Exam Prep 15, Investment Objectives and Risk Tolerance

Series 7 Exam Prep 14, Suitability, Reg BI, and Recommendation Standards

Series 7 Exam Prep 13, Education Accounts and Tax-Advantaged Savings

Series 7 Exam Prep 12, Retirement Accounts and ERISA Basics

Series 7 Exam Prep 11, Margin Accounts and Customer Agreements

Series 7 Exam Prep 10, Discretionary Accounts and Trading Authority

Series 7 Exam Prep 9, Account Registrations and Ownership Types

Series 7 Exam Prep 8, Know Your Customer and Customer Investment Profile

Series 7 Exam Prep 7, Customer Account Opening Basics

Series 7 Exam Prep 6, Exempt Securities and Exempt Transactions

Series 7 Exam Prep 5, IPO Rules and New Issue Allocations

Series 7 Exam Prep 4, New Issues, Underwriting, and Prospectus Delivery

Series 7 Exam Prep 3, Broker-Dealer Business and Customer Solicitation

Series 7 Exam Prep 2, What a General Securities Representative Can Do

Series 7 Exam Prep 1, Exam Structure and Function Weighting

[Series 65] 75, Anti-Money Laundering and Senior Protection

[Series 65] 74, Insider Trading and Market Manipulation

[Series 65] 73, Fiduciary Duty and Prohibited Practices

[Series 65] 72, Advisory Contracts and Client Agreements

[Series 65] 71, Advertising and Marketing Rules for IAs

[Series 65] 70, Exempt Securities and Exempt Transactions

[Series 65] 69, Securities Registration Methods

[Series 65] 68, Uniform Securities Act Overview

[Series 65] 67, Regulation Best Interest

[Series 65] 66, Agent and BD Registration Requirements

[Series 65] 65, Broker-Dealer vs Investment Adviser Distinction

[Series 65] 64, IAR Definition and Registration Requirements

[Series 65] 63, Form ADV Part 1 and Part 2 Brochure

[Series 65] 62, Custody Rules and Safeguarding Client Assets

[Series 65] 61, Recordkeeping and Books and Records Requirements

[Series 65] 60, IA Net Worth and Bonding Requirements

[Series 65] 59, State vs Federal IA Registration

[Series 65] 58, Investment Advisers Act of 1940

[Series 65] 57, QDROs and Special Distribution Situations

[Series 65] 56, ERISA and Plan Fiduciary Standards

[Series 65] 55, Required Minimum Distributions

[Series 65] 54, Education Savings 529 and Coverdell

[Series 65] 53, Traditional and Roth IRAs

[Series 65] 52, Qualified Retirement Plans 401k and Pension

[Series 65] 51, Tax-Advantaged Investment Strategies

[Series 65] 50, Capital Gains Tax Treatment

[Series 65] 49, Dollar Cost Averaging and Systematic Investing

[Series 65] 48, Fixed Income Portfolio Strategies

[Series 65] 47, Active vs Passive Investment Management

[Series 65] 46, Asset Allocation Strategies

[Series 65] 45, Sharpe Treynor and Jensen Performance Measures

[Series 65] 44, Alpha Beta and Standard Deviation

[Series 65] 43, Efficient Market Hypothesis

[Series 65] 42, Capital Asset Pricing Model

[Series 65] 41, Modern Portfolio Theory

[Series 65] 40, Suitability and Know Your Customer

[Series 65] 39, Accredited Investors and Qualified Purchasers

[Series 65] 38, Trusts and Estates as Clients

[Series 65] 37, Business Entity Types as Clients

[Series 65] 36, Individual Client Profiles and Life Stages

[Series 65] 35, Life Insurance Products in Investment Planning

[Series 65] 34, Annuities Fixed Variable and Indexed

[Series 65] 33, Options Strategies and Risk Profiles

[Series 65] 32, Options Basics Calls and Puts

[Series 65] 31, Hedge Funds and Private Equity

[Series 65] 30, Closed-End Funds and UITs

[Series 65] 29, Exchange-Traded Funds vs Mutual Funds

[Series 65] 28, Mutual Fund Costs 12b-1 Fees and Expenses

[Series 65] 27, Mutual Fund Structure and and Share Classes

[Series 65] 26, ADRs REITs and Other Equity Securities

[Series 65] 25, Equity Valuation Methods

[Series 65] 24, Preferred Stock Types and Features

[Series 65] 23, Common Stock Fundamentals

[Series 65] 22, Bond Pricing Yields and Duration

[Series 65] 21, Municipal Bonds GO vs Revenue

[Series 65] 20, Corporate Bonds Types and Features

[Series 65] 19, Government Agency Securities

[Series 65] 18, US Treasury Securities

[Series 65] 17, Cash Equivalents and Money Market Instruments

[Series 65] 16, Currency Risk and Political Risk

[Series 65] 15, Inflation Risk Liquidity Risk and Opportunity Cost

[Series 65] 14, Interest Rate Risk and Reinvestment Risk

[Series 65] 13, Types of Risk Systematic vs Unsystematic

[Series 65] 12, Descriptive Statistics and Correlation

[Series 65] 11, NPV IRR and Internal Rate of Return

[Series 65] 10, Time Value of Money Calculations

[Series 65] 9, Financial Ratios and Analysis

[Series 65] 8, Financial Statements and Accounting Fundamentals

[Series 65] 7, International Economics and Balance of Payments

[Series 65] 6, Interest Rates and Yield Curves

[Series 65] 5, Inflation Deflation and the Consumer Price Index

[Series 65] 4, Fiscal Policy and Government Spending

[Series 65] 3, The Federal Reserve and Monetary Policy

[Series 65] 2, Leading Lagging and Coincident Indicators

[Series 65] 1, Business Cycles and Economic Phases

[Series 6] 30, Anti-Money Laundering and Ethics

[Series 6] 29, Advertising and Sales Literature Rules

[Series 6] 28, SEC and FINRA Regulations

[Series 6] 27, Customer Account Types

[Series 6] 26, Suitability and Customer Profiles

[Series 6] 25, Coverdell Education Savings Accounts

[Series 6] 24, 529 Education Savings Plans

[Series 6] 23, Employer Retirement Plans

[Series 6] 22, Roth IRA Rules

[Series 6] 21, Traditional IRA Rules

[Series 6] 20, Life Insurance Taxation

[Series 6] 19, Variable Universal Life Insurance

[Series 6] 18, Variable Life Insurance Basics

[Series 6] 17, 1035 Exchanges

[Series 6] 16, Variable Annuity Taxation

[Series 6] 15, Variable Annuity Fees and Charges

[Series 6] 14, Variable Annuity Payout Options

[Series 6] 13, Variable Annuity Separate Accounts

[Series 6] 12, Variable Annuities Overview

[Series 6] 11, Mutual Fund Prospectus and SAI

[Series 6] 10, Mutual Fund Distributions

[Series 6] 9, Index Funds and ETFs

[Series 6] 8, Types of Mutual Funds by Objective

[Series 6] 7, Mutual Fund Expenses

[Series 6] 6, Net Asset Value Calculation

[Series 6] 5, Breakpoint Violations

[Series 6] 4, Breakpoints and Sales Charge Reductions

[Series 6] 3, Mutual Fund Share Classes

[Series 6] 2, Open-End vs Closed-End Funds

[Series 6] 1, Introduction to Investment Companies

[SIE] 60, Suitability and Regulation Best Interest

[SIE] 59, Registration and Licensing

[SIE] 58, FINRA and SRO Regulation

[SIE] 57, SEC and Securities Laws

[SIE] 56, Anti-Money Laundering (AML)

[SIE] 55, Customer Protection Violations

[SIE] 54, Insider Trading

[SIE] 53, Market Manipulation

[SIE] 52, Trade Settlement and Clearing

[SIE] 51, Order Qualifiers and Execution

[SIE] 50, Order Types

[SIE] 49, Margin Accounts - Maintenance and Calls

[SIE] 48, Margin Accounts - Basics

[SIE] 47, Employer-Sponsored Retirement Plans

[SIE] 46, Traditional and Roth IRAs

[SIE] 45, Customer Account Types - Business and Fiduciary

[SIE] 44, Customer Account Types - Individual and Joint

[SIE] 43, Alternative Investments

[SIE] 42, Direct Participation Programs

[SIE] 41, REITs

[SIE] 40, Options - Max Gain, Max Loss, Breakeven

[SIE] 39, Options - Intrinsic and Time Value

[SIE] 38, Put Options - Rights and Strategies

[SIE] 37, Call Options - Rights and Strategies

[SIE] 36, Options - Introduction and Terminology

[SIE] 35, Variable Life Insurance

[SIE] 34, Variable Annuities - Features and Taxation

[SIE] 33, Variable Annuities - Basics

[SIE] 32, Closed-End Funds and UITs

[SIE] 31, Exchange-Traded Funds (ETFs)

[SIE] 30, Types of Mutual Funds

[SIE] 29, Mutual Fund Expenses and Disclosure

[SIE] 28, Mutual Fund Share Classes

[SIE] 27, Mutual Funds - Structure and Pricing

[SIE] 26, Money Market Instruments

[SIE] 25, Bond Risks - Call, Inflation, and Liquidity

[SIE] 24, Bond Risks - Interest Rate and Credit

[SIE] 23, Municipal Bond Taxation

[SIE] 22, Municipal Bonds - Revenue Bonds

[SIE] 21, Municipal Bonds - General Obligation

[SIE] 20, Government Agency Securities

[SIE] 19, U.S. Treasury Securities

[SIE] 18, Types of Corporate Bonds

[SIE] 17, Bond Pricing and Yields

[SIE] 16, Corporate Bonds Fundamentals

[SIE] 15, Rights and Warrants

[SIE] 14, Types of Preferred Stock

[SIE] 13, Preferred Stock Basics

[SIE] 12, Common Stock - Dividends and Splits

[SIE] 11, Common Stock Fundamentals

[SIE] 10, Market Participants

[SIE] 9, The Underwriting Process

[SIE] 8, Types of Securities Offerings

[SIE] 7, Fiscal Policy

[SIE] 6, Monetary Policy Tools

[SIE] 5, The Federal Reserve System

[SIE] 4, Business Cycles

[SIE] 3, Economic Indicators

[SIE] 2, Primary vs Secondary Markets

[SIE] 1, Introduction to Capital Markets

[Investment] 9, Investment Policy Statement

[Investment] 10, Market Indices

[Investment] 28, Property Valuation

[Investment] 27, Convertible Bonds

[Investment] 25, Bond Immunization

[Investment] 26, Preferred Stock

[Investment] 8, Money Market Securities

[Investment] 7, Security Regulations

[Investment] 6, Stock Splits

[Investment] 5, Dividend Dates

[Investment] 24, Yield Curve Theories

[Investment] 23, Original Issue Discount

[Investment] 18, Portfolio Performance Measures

[Investment] 17, Capital Asset Pricing Model (CAPM)

[Investment] 21, Yield Measures

[Investment] 22, Accrued Interest

[Investment] 20, Bond Duration

[Investment] 19, Efficient Market Hypothesis

[Investment] 13, Correlation Coefficient

[Investment] 14, Beta

[Investment] 16, Modern Portfolio Theory

[Investment] 15, Systematic vs. Unsystematic Risk

[Investment] 29, Investment Companies

[Investment] 30, Options

[Investment] 11, Standard Deviation

[Investment] 12, Coefficient of Variation

[Investment] 3, Margin Requirements

[Investment] 4, Research Reports

[Investment] 1, Investment Options

[Investment] 2, Short-Selling

[Insurance] 20, Social Security Benefits

[Insurance] 19, Disability Insurance

[Insurance] 18, Long Term Care

[Insurance] 17, COBRA Coverage

[Insurance] 16, HSA Eligibility

[Insurance] 15, PPACA Requirements

[Insurance] 14, Health Insurance

[Insurance] 12, Universal Life Insurance

[Insurance] 13, Annuities

[Insurance] 11, Life Insurance Types

[Insurance] 10, State Regulation

[Insurance] 9, Rating Agencies

[Insurance] 8, Coinsurance Clause

[Insurance] 7, Valuation Methods

[Insurance] 6, Exclusions and Riders

[Insurance] 3, Law of Large Numbers

[Insurance] 2, Risk Management

[Insurance] 1, Insurance Purpose

[Insurance] 5, Agent vs. Broker

[Insurance] 4, Insurable Interest

[Tax] 30, Deduction Clustering

[Tax] 28, Gross Income Exclusions

[Tax] 29, Charitable Contributions

[Tax] 27, Gross Income Inclusions

[Tax] 26, Below Market Loans

[Tax] 21, Kiddie Tax

[Tax] 24, Pass-Through Entity Deductions

[Tax] 25, Section 179 Deduction

[Tax] 23, Hobby Losses

[Tax] 22, Alternative Minimum Tax (AMT)

[Tax] 20, Child Tax Credit

[Tax] 19, Standard Deduction

[Tax] 18, Filing Status

[Tax] 17, Basic Tax Formula

[Tax] 16, Insurance Policy Exchanges (Section 1035)

[Tax] 15, Involuntary Conversions (Section 1033)

[Tax] 14, Section 1202 Stock

[Tax] 13, Section 1244 Stock

[Tax] 12, Worthless Securities

[Tax] 11, Non-Qualified Use for Section 121

[Tax] 9, Wash Sales

[Tax] 8, Ordinary Income Rates

[Tax] 7, Long-Term Capital Gains Rates

[Tax] 6, Related Party Transactions

[Tax] 10, Personal Residence Gain Exclusion

[Tax] 5, Gifted Property Basis

[Tax] 4, Inherited Property Basis

[Tax] 3, Adjustments to Basis

[Tax] 2, Cost Basis

[Tax] 1, Types of Assets

[Retirement] 28, 457 Plans

[Retirement] 27, 403(b) Plans

[Retirement] 26, SIMPLE Plans

[Retirement] 30, Stock Options

[Retirement] 29, Nonqualified Plans

[Retirement] 23, Roth vs. Traditional IRAs

[Retirement] 22, Distribution Rules

[Retirement] 21, ESOPs

[Retirement] 25, Roth IRA Conversions

[Retirement] 24, IRA Contribution Limits

[Retirement] 15, Actuarial Requirements

[Retirement] 14, Pension Plan Types

[Retirement] 13, Plan Limits

[Retirement] 12, Top-Heavy Plans

[Retirement] 11, Vesting Schedules

[Retirement] 20, Stock Bonus Plans

[Retirement] 18, 401(k) Plans

[Retirement] 17, Profit Sharing Plans

[Retirement] 16, Social Security Integration

[Retirement] 10, Highly Compensated Employees

[Retirement] 9, 50/40 Test

[Retirement] 8, Coverage Tests

[Retirement] 7, Eligibility Requirements

[Retirement] 6, ERISA Protection

[Retirement] 19, Safe Harbor 401(k)

[Retirement] 3, Qualified Plans

[Retirement] 5, Defined Benefit vs. Defined Contribution

[Retirement] 4, Pension vs. Profit Sharing

[Retirement] 2, FIRE Variants

[Retirement] 1, Traditional vs. Alternative Retirement

[Fundamentals] 20, Education Savings Plans

[Fundamentals] 19, Consumer Protection Laws

[Fundamentals] 18, Fiscal Policy Tools

[Fundamentals] 17, Monetary Policy Tools

[Fundamentals] 16, Bankruptcy Reporting

[Fundamentals] 15, Candidate Fitness Standards

[Fundamentals] 14, Learning Styles

[Fundamentals] 13, Communication Skills

[Fundamentals] 12, Monitoring Plans

[Fundamentals] 11, Financial Planning Standards

[Fundamentals] 9, Confidentiality

[Fundamentals] 8, Conflict of Interest

[Fundamentals] 7, Fiduciary Duty

[Fundamentals] 6, Professionalism

[Fundamentals] 5, Continuing Education

[Fundamentals] 4, Code of Ethics

[Fundamentals] 3, Financial Planning Process

[Fundamentals] 2, Financial Advice Definition

[Fundamentals] 10, Compensation Models

[Fundamentals] 1, Ethics Emphasis

[Estate Planning] 19, Installment Payments of Estate Tax

[Estate Planning] 18, Income in Respect of a Decedent (IRD)

[Estate Planning] 17, Generation Skipping Transfer Tax (GSTT)

[Estate Planning] 16, Trusts in Estate Planning

[Estate Planning] 20, Special Use Valuation

[Estate Planning] 12, Gifts and Gift Tax

[Estate Planning] 11, Types of Property Ownership

[Estate Planning] 15, Applicable Exclusion Amount

[Estate Planning] 14, Marital and Charitable Deductions

[Estate Planning] 13, Crummey Provision

[Estate Planning] 10, Avoiding Probate

[Estate Planning] 9, Probate

[Estate Planning] 8, Methods to Transfer Property

[Estate Planning] 7, Power of Attorney

[Estate Planning] 6, Will Provisions

[Estate Planning] 3, Important Definitions

[Estate Planning] 2, Unauthorized Practice of Law

[Estate Planning] 1, Estate Planning Process

[Estate Planning] 4, Basic Documents

[Estate Planning] 5, Types of Wills