Regulation M for the Series 57 and Series 24

Regulation M for the Series 57 and Series 24

Author: capadvantage August 24, 2023 Duration: 22:22
Send us Fan Mail https://youtu.be/MmI7EDtAi-U Ken Finnen Chatham NJ Support the show 📚 About the Podcast Real-world finance explained the way exams and real life actually test it. Ideal for the SIE, Series 7, Series 65/66, and anyone who wants to actually understand money—not just memorize buzzwords. ⚠️ Disclosure This podcast is for educational purposes only and is not a recommendation to buy or sell any security. Opinions expressed are solely those of the host. 🚀 Go De...

There's a certain kind of clarity that only comes from someone who has been in the trenches, and that's exactly what you'll find with Series 7 Whisperer. This isn't about dry theory or memorizing endless lists. Instead, it channels the direct, no-nonsense guidance of a retired NYSE trader and FINRA principal who spent 37 years navigating the realities of Wall Street. Each episode feels like a focused coaching session, stripping away the academic fluff to zero in on the raw, testable truths that actually matter for the Series 7 exam. You'll hear practical breakdowns of complex topics like options pricing, suitability analysis, and the dense web of regulations, all framed through the lens of real-world application. It’s for anyone in the grind of preparation, whether you're facing a last-minute cram session or systematically working through the curriculum, seeking a more intuitive understanding. The host’s experience translates into a distinct voice-a steady, pragmatic companion in your ear that emphasizes not just passing a test, but grasping the concepts that form the foundation of a career. Tune into this podcast when you need a shortcut to the core principles, delivered with the straightforward confidence of someone who knows exactly what it takes to succeed.
Author: Language: English Episodes: 100

Series 7 Whisperer
Podcast Episodes
SIE Exam and Series 7 exam :Way too fast rundown on Structured notes [not-audio_url] [/not-audio_url]

Duration: 9:46
Send us Fan Mail Series 7 Whisperer discussed the intricacies of structured notes, including their composition, risks, and features such as 'auto callable'. He also explained the concepts of buffers and barriers in finan…
Series 6 Exam: Investment Startegies and Portfolio Analysis [not-audio_url] [/not-audio_url]

Duration: 17:01
Send us Fan Mail Support the show 📚 About the Podcast Real-world finance explained the way exams and real life actually test it. Ideal for the SIE, Series 7, Series 65/66, and anyone who wants to actually understand mone…
LIVE Q&A ALL FINRA EXAM  Apr 18, 2024 w/special guest!! Brandon Rith [not-audio_url] [/not-audio_url]

Duration: 1:23:59
Send us Fan Mail oin us LIVE for an exclusive Q&A session dedicated to all aspiring finance professionals. Whether you're tackling the Series 7, Series 63, Series 65, or Series 66 exams, this is your golden opportunity t…
SIE and Series 7 LIVE Q&A April 11 2024  replay [not-audio_url] [/not-audio_url]

Duration: 1:13:15
Send us Fan Mail oin us LIVE for an exclusive Q&A session dedicated to all aspiring finance professionals. Whether you're tackling the Series 7, Series 63, Series 65, or Series 66 exams, this is your golden opportunity t…
SIE Exam prep: What is a Pipe Offering   2 min overview [not-audio_url] [/not-audio_url]

Duration: 2:07
Send us Fan Mail Pipe offerings, formally known as Private Investments in Public Equity (PIPEs), are transactions where public companies issue securities in a private placement to investors. These offerings have grown in…
Live Q&A SIE exam and ALL FINRA and NASAA exam Apr 2 ,2024 Replay [not-audio_url] [/not-audio_url]

Duration: 1:33:58
Send us Fan Mail Join us LIVE for an exclusive Q&A session dedicated to all aspiring finance professionals. Whether you're tackling the Series 7, Series 63, Series 65, or Series 66 exams, this is your golden opportunity…
Live Q&A  All FINRA and NASAA Exams Feb 29th 2024  ( REPLAY ) [not-audio_url] [/not-audio_url]

Duration: 1:10:18
Send us Fan Mail Support the show 📚 About the Podcast Real-world finance explained the way exams and real life actually test it. Ideal for the SIE, Series 7, Series 65/66, and anyone who wants to actually understand mone…