Securities Live Focused Webinars

Explore shareholder rights, the intricacies of stock types, and the strategic considerations of stock splits and dividends. Dive deep into the relationship between bond prices and yields, with valuable tools to help with comprehension and recall of these critical facts on test day. With a focus on testable applications, this webinar provides the analytical tools and knowledge to confidently address questions on equity and bond market dynamics.  

By concentrating on the areas that carry the most weight on the exam and present the greatest challenges, we ensure that candidates can confidently navigate through the complexities of product knowledge fundamentals. Our interactive approach allows for the practical application of these concepts to exam-style questions, fostering a deeper understanding and readiness for the SIE exam. 

Gain a solid grasp of call and put options and learn the structure and application of these instruments. The webinar also covers hedging techniques and option strategies, complete with practical calculations for real-world trading scenarios. Differentiate between open-end and closed-end investment companies, understand mutual fund characteristics, and explore the basics of Exchange Traded Funds and Exchange Traded Notes. This webinar ensures well-rounded preparation for the exam. 

By concentrating on the areas that carry the most weight on the exam and present the greatest challenges, we ensure that candidates can confidently navigate through the complexities of product knowledge fundamentals. Our interactive approach allows for the practical application of these concepts to exam-style questions, fostering a deeper understanding and readiness for the SIE exam. 

The webinar covers topics such as order execution, market maker & designated market maker functions, and the intricacies of the OTC market and Exchange Market. Gain practical insights into the mechanics of margin accounts, both long and short accounts. This webinar is crucial for SIE candidates seeking to deepen their market knowledge and leverage financial strategies effectively for exam success and professional advancement.  

By concentrating on the areas that carry the most weight on the exam and present the greatest challenges, we ensure that candidates can confidently navigate through the complexities of product knowledge fundamentals. Our interactive approach allows for the practical application of these concepts to exam-style questions, fostering a deeper understanding and readiness for the SIE exam. 

Delve into equity issuance strategies, share distribution mechanics, and key stock formulas. The webinar simplifies bond features, accrued interest, and the specifics of callable and convertible bonds. Attendees will explore advanced strategies such as spreads and straddles through practical examples. This webinar is ideal for Series 7 candidates looking to deepen their investment knowledge and apply it proficiently in their careers. 

Tailored for those who have passed the SIE, these webinars build upon that foundation, focusing on advanced topics that reinforce and expand your skills by integrating the fundamental concepts with the nuanced material. 

Suitability succinctly navigates FINRA Rule 2111, Reg BI, and KYC standards. Discussing suitable client investment recommendations and sharpening skills in risk assessment, asset allocation, account types, and investment objectives, this call will reinforce practical application with examples. Essential for Series 7 exam success, this webinar is a concentrated study in the art of suitability in financial advising. 

Tailored for those who have passed the SIE, these webinars build upon that foundation, focusing on advanced topics that reinforce and expand your skills by integrating the fundamental concepts with the nuanced material. The suitability webinar synthesizes various critical concepts, preparing candidates to assess and apply client suitability with precision.

Distills the key aspects of mutual funds and annuities, focusing on the structure, regulation, and pricing of investment companies, as well as the distinctions between ETFs and ETNs. It also covers the various insurance types, annuity taxation, and payout methods. This webinar, complete with targeted question breakdowns, equips candidates to adeptly navigate these topics on the Series 6 exam. 

Designed to demystify the core principles surrounding Investment Companies and Annuities, two of the most critical components of the exam. Our expert trainers will distill the complexities of these subjects into more comprehensible concepts, significantly enhancing your ability to manage mutual funds and annuities proficiently.   

This webinar sharpens candidates' grasp of key securities regulations for the Series 63, 65, and 66 exams. It distills the core elements of state and federal laws, including registration protocols and firm definitions, while navigating the exclusions and categories relevant to industry professionals. This webinar highlights administrator authority and fraud prevention, arming candidates with the knowledge to tackle legal and ethical exam questions with confidence. 

An essential tool for those preparing for the Series 63, 65, and 66 exams, these webinars provide clarity on the interplay between state and federal regulations, and guides candidates through the intricacies of investment advisement for both individuals and organizations. This comprehensive approach ensures a robust understanding of the regulatory environment and ethical practices essential for NASAA exam success. 

Equips Series 65 and 66 candidates with insights into investment vehicles and strategies. It covers key features of equities, bonds, and investment companies, alongside practical bond trading and equity options exercises. The webinar emphasizes the art of making tailored investment recommendations, understanding client-specific needs, and navigating investment taxation. Candidates will also learn about order types, risk assessment, and investment valuation, ensuring a well-rounded approach to financial advising and exam preparedness. 

An essential tool for those preparing for the Series 63, 65, and 66 exams, these webinars provide clarity on the interplay between state and federal regulations, and guides candidates through the intricacies of investment advisement for both individuals and organizations. This comprehensive approach ensures a robust understanding of the regulatory environment and ethical practices essential for NASAA exam success.