SIE Exam: Securities Industry Essentials Exam Lessons and Information

SIE Exam Lesson 36 Analysis Balance Sheet 3 This is SIE Exam Lesson 36 which is going to be covering the third lesson in balance sheets in this lesson we begin our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 36 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

SIE Exam Lesson 35 Analysis Balance Sheet 2 This is SIE Exam Lesson 35 which is going to be covering the second lesson in balance sheets in this lesson we begin our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 35 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

SIE Exam Lesson 34 Analysis Balance Sheet 1 This is SIE Exam Lesson 34 which is going to be covering the first lesson in balance sheets in this lesson we begin our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 34 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

SIE Exam Lesson 32 Securities Trading Markets pt 4 In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 32 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 32 The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

SIE Exam Lesson 31 Securities Trading Markets pt 3 In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 31 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 31 The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

SIE Exam Lesson 30 Securities Trading Markets pt 2 In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 30 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 30 The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

SIE Exam Lesson 29 Securities Trading Markets part 1 In this lesson we start to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 29 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 29 The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14

2020 SIE Exam Lesson 28 MSRB Securities Industry Essentials SIE Exam Sample Lesson 28 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 28 The full course details: 2020 SIE Exam Lesson 27 FINRA Rules pt 2 Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status,

2020 SIE Exam Lesson 27 FINRA Rules pt 2 Securities Industry Essentials SIE Exam Sample Lesson 27 is another portion (about 1/3rd of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 27 The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential custo...

SIE Exam Lesson 27 FINRA Rules pt 2 Securities Industry Essentials SIE Exam Sample Lesson 27 is another portion (about 1/3rd of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 27 The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60”      

SIE Exam Lesson 26 FINRA Rules pt 1 Securities Industry Essentials SIE Exam Sample Lesson 26 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 26 The full course details: Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 24 Securities Act of 1934 Securities Industry Essentials SIE Exam Sample Lesson 24 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 24 The full course details:   Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 21 Unit Investment Trusts Securities Industry Essentials SIE Exam Sample Lesson 21 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 21 The full course details:   Total Course 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 21 Unit Investment Trusts 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 21 Unit Investment Trusts This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 20 Mutual Funds 3 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 20 Mutual Funds 3 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 18 Mutual Funds 1 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 18 Mutual Funds 1 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 11 Options 1 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 11 Options 1 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 10 CDS-ARS-SP 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 10 CDS-ARS-SP This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

2020 SIE Exam Lesson 8 Municipal Debt Fixed Income This is about one half of the full length of this audio lesson for SIE Exam Lesson 8 Municipal Debt Fixed Income This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

Securities Industry Essentials SIE Exam Sample Lesson Fixed Income pt. 3 Fixed Income pt. 3 lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition" this lesson: Fixed Income pt. 3 is the second of several lessons on fixed income. This is the SIE Exam Lesson on Fixed Income pt. 3 Total Course 36 hours 53 Min 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” ...

Securities Industry Essentials SIE Exam Sample Lesson Fixed Income pt. 2 This is Fixed Income pt. 2 lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition" Fixed Income pt. 2 is the second of several lessons on fixed income. This is the SIE Exam Lesson on Fixed Income pt. 2 Total Course 36 hours 53 Min 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

Securities Industry Essentials SIE Exam Sample Lesson Fixed Income pt. 1 This is Fixed Income pt. 1 lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition" Fixed Income pt. 1 is the first of several lessons on fixed income. This is the SIE Exam Lesson on Fixed Income pt. 1 Total Course 36 hours 53 Min 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records”

Securities Industry Essentials SIE Exam Sample Lesson 2 Preferred Stock This portion of the Preferred Stock lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition" This is the SIE Exam Lesson on Preferred Stock Total Course 36 hours 53 Min 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes s...

Securities Industry Essentials SIE Exam Sample Lesson 2 Common Stock This portion of the Common Stock lesson is a portion of the sample lessons we will be sharing with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam 2nd Edition" This is the SIE Exam Lesson on Common Stock Total Course 36 hours 53 Min 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. All candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Off Series 7 Exam. A Series 7 candidate must also have an industry sponsor in order to take the examination to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts, transfers assets and maintains appropriate account records” “Provides customers with information on investments and makes suitable re...

SIE Exam Lesson 27 FINRA Rules pt 2 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 27 FINRA Rules pt 2 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 26 FINRA Rules pt 1 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 26 FINRA Rules pt 1 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 24 Securities Act of 1934 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 24 Securities Act of 1934 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 21 Unit Investment Trusts 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 21 Unit Investment Trusts This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 20 Mutual Funds 3 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 20 Mutual Funds 3 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 18 Mutual Funds 1 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 18 Mutual Funds 1 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 11 Options 1 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 11 Options 1 This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 10 CDS-ARS-SP 2020 This is about one half of the full length of this audio lesson for SIE Exam Lesson 10 CDS-ARS-SP This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 8 Municipal Debt Fixed Income This is about one half of the full length of this audio lesson for SIE Exam Lesson 8 Municipal Debt Fixed Income This Lesson of the Securities Industry Essentials SIE Exam audio course is a Sample Lesson of the full 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 5 Fixed income The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance, and helps them identify their investment objectives” “Opens accounts,

SIE Exam Lesson 47 Margins pt 1 This is SIE Exam Lesson 47 which is the first lesson on Margins you will need to have an understanding of margins to be able to pass both the SIE exam and the series 7 exam. It involves a lot of memorization and can be difficult to absorb. Fortunately after you pass the exams you really don't need to pay much attention to them because you will have a department in your firm which will watch your customers' margins very closely and will notify you when you're customers are in violation of margin rules. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 47 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) of the full lesson that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments,

SIE Exam Lesson 46 Macro and Portfolio Analysis This is SIE Exam Lesson 46 which is going to be covering Macro Analysis and Portfolio analysis in this lesson we continue talking about “Global” or “Macro” approach to investment analysis and add portfolio analysis. We're going to cover analysis in great detail first starting with balance sheets and going on to income statements then to cash flow and then other analysis techniquesThis SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 46 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) of the full lesson that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91

SIE Exam Lesson 39 Analysis Income Statement pt 3 This is SIE Exam Lesson 45 which is going to be covering Macro Analysis in this lesson we start talking about “Global” or “Macro” approach to investment analysis. We're going to cover analysis in great detail first starting with balance sheets and going on to income statements then to cash flow and then other analysis techniquesThis SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 45 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes,

SIE Exam Lesson 39 Analysis Income Statement pt 3 This is SIE Exam Lesson 39 which is going to be covering the third lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 39 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Proc...

SIE Exam Lesson 38 Analysis Income Statement pt 2 This is SIE Exam Lesson 38 which is going to be covering the second lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 38 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Pro...

SIE Exam Lesson 37 Analysis Income Statement pt 1 This is SIE Exam Lesson 37 which is going to be covering the first lesson on income statements in this lesson we continue our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE Exam Securities Industry Essentials SIE Exam Sample Lesson 36 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Proc...

SIE Exam Lesson 36 Analysis Balance Sheet 3 This is SIE Exam Lesson 36 which is going to be covering the third lesson in balance sheets in this lesson we begin our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 36 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes,

SIE Exam Lesson 35 Analysis Balance Sheet 2 This is SIE Exam Lesson 35 which is going to be covering the second lesson in balance sheets in this lesson we begin our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 35 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes,

SIE Exam Lesson 34 Analysis Balance Sheet 1 This is SIE Exam Lesson 34 which is going to be covering the first lesson in balance sheets in this lesson we begin our discussion of the fundamental approach to investment analysis. We're going to cover this subject in great detail first starting with balance sheets and going on to income statements and then finally the cash flow statement. This SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 34 is another portion (about 1/4 to 1/2 of the full lesson of the full lesson) that we will share with you for the full new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes,

SIE Exam Lesson 32 Securities Trading Markets pt 4 In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 32 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 32 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam wi...

SIE Exam Lesson 31 Securities Trading Markets pt 3 In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 31 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 31 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam wi...

SIE Exam Lesson 30 Securities Trading Markets pt 2 In this lesson we continue to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 30 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 30 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam wi...

SIE Exam Lesson 29 Securities Trading Markets part 1 In this lesson we start to learn about the trading markets what you need to understand in order to pass the securities industries essentials exam, the SIE exam.Securities Industry Essentials SIE Exam Sample Lesson 29 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 29 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam wil...

SIE Exam Lesson 28 MSRB Securities Industry Essentials SIE Exam Sample Lesson 28 is another portion (about 1/4 to 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 28 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 27 FINRA Rules pt 2 Securities Industry Essentials SIE Exam Sample Lesson 27 is another portion (about 1/3rd of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 27 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 26 FINRA Rules pt 1 Securities Industry Essentials SIE Exam Sample Lesson 26 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 26 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 24 Securities Act of 1934 Securities Industry Essentials SIE Exam Sample Lesson 24 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 24 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 21 Unit Investment Trusts Securities Industry Essentials SIE Exam Sample Lesson 21 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 21 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 20 Mutual Funds 3 Securities Industry Essentials SIE Exam Sample Lesson 20 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 20 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 18 Mutual Funds 1   Securities Industry Essentials SIE Exam Sample Lesson 18 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 18 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 15 Options 5 Securities Industry Essentials SIE Exam Sample Lesson 15 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 4 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 11 Options 1 Securities Industry Essentials SIE Exam Sample Lesson 11 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 4 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 10 CDS-ARS-SP Securities Industry Essentials SIE Exam Sample Lesson 10 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 4 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam Lesson 8 Municipal Debt Fixed Income 4 Securities Industry Essentials SIE Exam Sample Lesson 8 is another portion (about 1/2 of the full lesson)  that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 4 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

A Bad Annuity Salesperson Tale This podcast is a podcast about Bad Annuity Sales Practices from and actual experience I had in the last month with a client.  Listen and learn what you should never do if you are trying to sell annuities to your client! Securities Industry Essentials SIE Exam Sample Lesson 26 is another portion (about 1/2 of the full lesson) that we will share with you for the new 36 hour and 35 min audio course "Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam" and this is Securities Industry Essentials SIE Exam Sample Lesson 26 The full course details: Total Course 36 hour 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. Here is a link to the table of Contents Here is what my customers say about my audio lessons Testimonials FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However now all candidates now must now pass both the SIE exam (securities industry essentials exam) as well as the New Top-Odd Series 7 Exam. In a series 7 candidate must also have an industry sponsor in order to take the examination tot to take the SIE Exam the candidate simply needs to be 18 years old and no broker affiliation is needed.. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General...

What is the SIE Exam Podcast? The SIE Exam podcast is a podcast for those who are preparing to take the FINRA Securities Industry Essentials Exam (SIE Exam) and enter the Financial Services industry. In the SIE Exam podcast we share audio lessons to help you prepare for the SIE Exam as well as lessons and interviews with individuals to help the candidate round out their understanding of finance and business. If you are interested in preparing for the SIE Exam or just learn about financial products this is the podcast for you   --------------------------------------------------------------------------------------------------------------------------------------------------- You need to pass both the series 7 and the Securities Industries Essentials Examination in order to be licensed by FINRA. While you may take both exams simultaneously, normally you would want pass the securities industries essentials exam prior to taking the New series 7 exam, however, this is not required you may take the both exam simultaneously, the SIE exam prior to the series 7 exam, or the series 7 exam prior to the SIE exam . The only restriction is that you must be employed by a member firm in order take the series 7 exam but you may take the SIE exam without any industry affiliation as long as your 18 years of age or older. -------- The full table of contents for the Series 7 Top-Off Study Guide is located here The New Series 7 Top- Off Study Guide Audio Lessons is a Total Length 32 hours 27 Min ________________________________________________________________________________________________   The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. Essentials exam results are valid for four years. Check out our podcast for the SIE Exam Here is a link to our other study products

Jim Moore owns and operates the tutoring company Professional Exam Tutoring (www.professionalexamtutoring.com) based out of New York City. His primary focus is on tutoring FINRA exams such as the SIE Exam, Series 7 Top-Off Exam, Series 6, Series 63, Series 79, and Series 86. He also tutors CFA candidates, and an undergraduate finance, and corporate finance courses. In this conversation, we discuss the feedback Jim’s received from students for the SIE exam, and touch on the Series 7 Top-Off a little bit as well. Specifically, the discussion centers around what resources students find successful, what topics present the most challenges, and what tips and tricks seem to resonate with student that take the SIE exam."

New Series 7 Top off Examination Sample Lesson 7 MSRB Advertising, FINRA Rules This is  sample lesson from the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes. Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course if you're interested in buying the full set of audio lessons click the links below. You need to pass both the series 7 and the securities industries essentials examination in order to be licensed by FINRA. While you may take both exams simultaneously, normally you would want pass the securities industries essentials exam prior to taking the New series 7 exam, however, this is not required you may take the both exam simultaneously, the SIE exam prior to the series 7 exam, or the series 7 exam prior to the SIE exam . The only restriction is that you must be employed by a member firm in order take the series 7 exam but you may take the SIE exam without any industry affiliation as long as your 18 years of age or older. -------- The full table of contents for the Series 7 Top-Off Study Guide is located here New Series 7 Top-Off announcement As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast. The New Series 7 Top- Off Study Guide Audio Lessons is a Total Length 32 hours 27 Min _____________________________ Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help! The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. Essentials exam results are valid for four years. Check out our podcast for the SIE Exam Here is a link to our other study products

New Series 7 Top off Examination Sample Lesson 5 Securities Act of 1933 This is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes. Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course if you're interested in buying the full set of audio lessons click the links below. You need to pass both the series 7 and the securities industries essentials examination in order to be licensed by FINRA. While you may take both exams simultaneously, normally you would want pass the securities industries essentials exam prior to taking the New series 7 exam, however, this is not required you may take the both exam simultaneously, the SIE exam prior to the series 7 exam, or the series 7 exam prior to the SIE exam . The only restriction is that you must be employed by a member firm in order take the series 7 exam but you may take the SIE exam without any industry affiliation as long as your 18 years of age or older. -------- The full table of contents for the Series 7 Top-Off Study Guide is located here New Series 7 Top-Off announcement As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast. The New Series 7 Top- Off Study Guide Audio Lessons is a Total Length 32 hours 27 Min _____________________________ Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help! The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. Essentials exam results are valid for four years. Check out our podcast for the SIE Exam Here is a link to our other study products

New Series 7 Top off Examination Sample Lesson 4 Option Communication and Disclosures This is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes. Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course if you're interested in buying the full set of audio lessons click the links below. You need to pass both the series 7 and the securities industries essentials examination in order to be licensed by FINRA. While you may take both exams simultaneously, normally you would want pass the securities industries essentials exam prior to taking the New series 7 exam, however, this is not required you may take the both exam simultaneously, the SIE exam prior to the series 7 exam, or the series 7 exam prior to the SIE exam . The only restriction is that you must be employed by a member firm in order take the series 7 exam but you may take the SIE exam without any industry affiliation as long as your 18 years of age or older. -------- The full table of contents for the Series 7 Top-Off Study Guide is located here New Series 7 Top-Off announcement As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast. The New Series 7 Top- Off Study Guide Audio Lessons is a Total Length 32 hours 27 Min _____________________________ Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help! The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. Essentials exam results are valid for four years. Check out our podcast for the SIE Exam Here is a link to our other study products

New Series 7 Top off Examination Sample Lesson 3 Section 1 Rankings, Volatility Ratings CMO's This is the most comprehensive set of audio lessons which is available for the preparation to take the New Series 7 Top off Examination the course consists of 74 lessons which amounts to 32 hours and 27 min. in total length. Audio lessons are a supplement and not a substitute for the book learning that you should also be doing. Audio lessons simply allow you to learn comprehend and reinforce what you should also be learning through normal studying methods such as attending classes, reading books, and taking practice quizzes. Over the next several weeks I'm going to be sharing with you six sample lessons from the full audio course if you're interested in buying the full set of audio lessons click the links below. You need to pass both the series 7 and  the  securities industries essentials examination in order to be licensed by FINRA.  While you may take both exams simultaneously, normally you would want pass the securities industries essentials exam prior to taking the New series 7 exam, however, this is not  required you may take the both  exam simultaneously, the  SIE exam  prior to the series 7 exam, or  the series 7 exam prior to the SIE exam . The only restriction is that you must be hired by a member firm  in order take the series 7 exam but you may take the SIE exam without any industry affiliation as long as your 18 years of age or older. -------- The full table of contents for the Series 7 Top-Off Study Guide is located here New Series 7 Top-Off announcement As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast. The New Series 7 Top- Off Study Guide Audio Lessons is a Total Length 32 hours 27 Min _____________________________ Before you may take the New Series 7 Exam (top off Series 7 Exam) you must also pass the SIE Exam and the audio lessons I have produced may help! The full table of contents for the Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam is located here Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Unlike the licensing exams such as the Series 4, 6, 7, 9, 10… which require the candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over the age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. Essentials exam results are valid for four years. Check out our podcast for the SIE Exam Here is a link to our other study products

Interview with Sahil Lavingia founder of Gumroad A few weeks ago I was invited to a dinner hosted by Sahil Lavingia founder of Gumroad. Being an early adopter of the Gumroad platform it was fascinating to hear the story directly from Sahil himself. I asked him if I could interview him for my podcasts and he generously agreed. While this interview has nothing to do with the securities industries essentials examination I hope you find it enjoyable and enlightening. As I said in the podcast I have just finished producing 74 lessons that now make up the new series 7 study guide audio lessons and I am looking for reviewers who would get a discount to $69.99 from the list price which will be $119.99. If you are interested in being a reviewer write me an e-mail to the e-mail address which is revealed in the podcast. Below are the links where Sahil reveals quite a bit more information about himself I found them enjoyable perhaps you will as well. https://medium.com/s/story/reflecting-on-my-failure-to-build-a-billion-dollar-company-b0c31d7db0e7 https://medium.com/@shl/from-bubble-to-bubble-21d86195e178   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes,

Learn about Family Offices Family Offices In this episode we learn about Family Offices. I interview Richard Wilson at https://familyoffices.com We explore: What are Family Offices What Investments do family offices make How are Family Offices Structured What Events does https://familyoffices.com have How would make contact with these Offices There is also a youtube channel for Family Office club here is the link https://www.youtube.com/user/familyofficesgroup/videos   The full course details: 36 hours 53 Min of audio instruction to help you prepare for the Securities Industry Essentials Exam 58 Audio Lessons for Securities Industry Essentials Exam 13 Bonus Lessons about the finance industry Securities Industry Essentials Exam Podcast Audio Lessons for the SIE Exam   New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential Customers 7% 9 (F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives 9% 11 (F3) Provides Customers with Information about Investments, Makes Suitable Recommendations, Transfers Assets and Maintains Appropriate Records 73% 91 (F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions 11% 14 TOTAL 100% 125” The five job functions of the new Series 7 General Securities Representative Exam will be: “Seeks business for the broker-dealer through customers and potential customers” “Evaluates customers’ financial status, financial needs and risk tolerance,

SIE Exam: Outline The Securities Industry Essentials Exam (SIE Exam) outline is discussed in this podcast.  The SIE Exam outline is published at the FINRA Website and is available to be downloaded in a PDF Document here.                                                                            The Securities Industry Essentials Exam Podcast (SIEPodcast.com) is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the Securities Industry Essentials Exam (SIE Exam). This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams. The SIE Exam Podcast is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the SIE Exam. This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams. This SIE Exam Podcast will contain a series of sample lessons which will cover the material required to be mastered in order to pass the Securities Industry Essentials Exam. This introduction to the SIE Exam podcasts, Outlines the exam and what is covered in the exam. In order to take the SIE Exam all that is required is that the candidate is 18 years or older it is not required that you are currently working in the financial services industry. Here are testimonials from my Series 7 Study Guide audio lessons New Series 7 Exam and SIE Exam New Series 7 Exam and SIE Exam details. FINRA has announced major changes to the Series 7 Exam effective October 1, 2018. With the introduction of the Securities Industries Essentials Exam (SIE Exam) the new series 7 has been pared down to 125 questions from its original 250 questions. https://www.finra.org/industry/series7 However there is now a prerequisite before taking the new Series 7 Exam all candidates now must have passed the SIE exam (securities industry essentials exam). In addition thing a series 7 candidate must also have an industry sponsor in order to take the examination. https://www.finra.org/industry/essentials-exam “Securities Industry Essentials (SIE) Exam Available Beginning October 1, 2018 The Securities Industry Essentials (SIE or Essentials) Exam, available beginning October 1, 2018, is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Key Features of the Essentials Exam ________________________________________ • The Essentials exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. • Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. • Essentials exam results are valid for four years. The Essentials Exam at a Glance ________________________________________ Number of Items 75 Format Multiple Choice Duration 105 minutes Passing Score 70% Cost $60” Outline of SIE Exam: https://www.finra.org/sites/default/files/SIE%20Outline-01.12.18.pdf New Series 7 Exam “On or After October 1, 2018 The New Series 7 Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four main job functions of a general securities representative. The table below lists the allocation of exam questions for each main job function. Major Job Functions Percentage of Test Questions Number of Test Questions (F1) Seeks Business for the Broker-Dealer from Customers and Potential ...

What is the Securities Industry Essentials Exam Podcast? The Securities Industry Essentials Exam Podcast is for the individual who is interested in working in the financial services industry. To enter this profession there is now the requirement effective October 1, 2018 to take and pass the Securities Industry Essentials Exam (SIE Exam). This exam is a prerequisite exam needed prior to taking most of the other FINRA Series of Exams. This Securities Industry Essentials Exam Podcast will contain a series of sample lessons which will cover the material required to be mastered in order to pass the Securities Industry Essentials Exam. This introduction to the Securities Industry Essentials Exam podcasts, Outlines the exam and what is covered in the exam. In order to take the Securities Industry Essentials Exam all that is required is that the candidate is 18 years or older it is not required that you are currently working in the financial services industry. What is the Securities Industry Essentials Exam Podcast Effective October 1, 2018 Financial Industry Regulatory Authority (FINRA) changed the licensing of those that wish to work in the financial services industry. There is now a required prerequisite for most of the Licensing tests and this is the Securities Industry Essentials Exam Securities Industry Essentials Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. Unlike the licensing exams such as the Series 4,6, 7, 9, 10… which require te candidate to be employed by a member firm, Securities Industry Essentials Exam is open to anyone over te age of 18 including students and prospective candidates interested in demonstrating basic industry knowledge to potential employers. Association with a firm is not required, and individuals are permitted to take the exam before or after associating with a firm. Essentials exam results are valid for four years. More information on the http://www.finra.org/industry/essentials-exam