Welcome to PassMasters’ Questions of the Week with Suzy Rhoades, our expert securities exam prep instructor.

If you are studying for the Securities Industry Essentials (SIE) Exam, this video is for you! In this video, Suzy will cover 23 questions the come from the topics covered in FINRA's SIE content outline in Section 3 Understanding Trading, Customer Accounts, and Prohibited Activities. This section covers a lot!

Bearish or bullish? T + 1. Stock splits! Margin accounts. Custodial accounts. Antimoney laundering. Regulation SP. Financial Exploitation of seniors. Books and records. These are just a few of the topics covered within Section 3 of FINRA's SIE Content Outline.

In this video, Suzy will present questions that come directly from our SIE exam prep licensing course.

To learn more about Suzy's SIE course
https://passmasters.com/securities/sie/

To check out all of Suzy's securities course offering
https://passmasters.com/securitiesex...

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Let's see what Jonathan had to say about Suzy's SIE course:
“Hi, I purchased a course from ExamFX, Knopman, Kaplan, Solomon, STC, Securities Institute of America, and PassMasters for the SIE. In studying for the SIE, I found PassMasters and Suzy to be the best course and the easiest to explain and digest the material.”

Glad you found us Jonathan! Let us help you PASS THE SIE!

We will be posting questions of the week type videos frequently so please make sure to subscribe to our page and activate notifications.

Do you have questions about anything covered in this video? Or about any of the securities exams in general? Post a comment and we will respond asap. Thanks for watching and happy studies!

Contents of this video
0:00 Welcome
0:57 Practice Question 1 – Community property states
1:42 Practice Question 2 – When is sharing commissions ok
2:48 Practice Question 3 – Insider trading
3:33 Practice Question 4 – Laws targeting money laundering
4:12 Practice Question 5 – Buying a bond on margin
4:35 Practice Question 6 – # of shareholders for an S corporation
4:53 Practice Question 7 – Plan for a disaster
5:27 Practice Question 8 – Block order
5:45 Practice Question 9 – Institutional clients
6:14 Practice Question 10 – Currency transaction report filing threshold
6:42 Practice Question 11 – Annualized return
7:04 Practice Question 12 – Stock buyback
7:23 Practice Question 13 – Proxy solicitations
7:57 Practice Question 14 – Regulation Best Interest
8:27 Practice Question 15 – Bid and Ask prices
9:47 Practice Question 16 – New member firm's FINRA filing requirements
10:35 Practice Question 17 – Regulation SP
11:27 Practice Question 18 – Business that ceases at owner's death
11:47 Practice Question 19 – Selling shares without pay fully
12:15 Practice Question 20 – IRAs
12:58 Practice Question 21 – Personal trading account
13:59 Practice Question 22 – Tax rate that hurts low income families
14:35 Practice Question 23 – Market breadth indicators
15:20 Recap