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so I think I understand my confusion. The question is saying the stock should be owned by record date meaning that the transfer of ownership occurred not on the ex-dividened day but before. If the transfer of owernship happens on by ex-dividend day, that too works but that is not the cut off meaning if the trade settles on record day, the buyer qualifies for the dividend.

@ For this question (#37 I believe) it is asking if you want to receive the dividend you must own it by when? If you are the books and records as of the record date you will receive the dividend. The ex-dividend date is the date that the stock trades withOUT the dividend attached. I believe the other area that may be tripping you up is the fact that the settlement cycle under Reg T was shortened in 2024 from T + 2 business days to T + 1. So before this change, when the transaction settled regular way the ex-dividend date was the business day prior. (I am not sure how old your book is that you are studying). Today, you can buy the stock the business day prior AND still receive the dividend (under a regular way transaction) because it settles the next business day, so today ex-dividend and record date are the same date. But either way, under the old regular way rule or the new rule, in order to receive the dividend you must own the stock by the record date. Great question and great job figuring it out! Keep up the good work. 😀

In April of 2016, Jones Day advised TesTeachers, LLC in its sale to ExamFX, a division of Ascend Learning, LLC, a provider of online educational services to test, assess, and certify individuals for various professional services, such as insurance, nursing, financial advising, and others.

Hi! I think you are referencing question #2. You are right that ongoing maintenance for a short margin account is 30%. But be careful. That is not what this question is about. This is a question about the margin requirement on a short call position in a margin account. So totally different question and answer. When you sell a call but don't own the stock, as in this question, the margin requirement is to deposit the short sale proceeds (the premium collect in the case of selling the call option) + 20% of the current market price of the stock times 100 shares in the contract times 10 contracts in this question MINUS any out of the money amount....this contract is in the money so nothing to subtract there. Premium is $3,000 PLUS current market price $84 times 1000 shares times 20% = $16,800...total margin requirement is $19,800. Remember when you sell a naked call you have sold an obligation to sell shares you do not own, this is different from simply shorting a stock. Keep up the good work, I am so glad you asked! 😀

You are doing all the right things. Just keep on learning! YOU GOT THIS 😀

Looking forward to having you as a student! We are here to help! Thank you for watching!

You're very welcome! thank you for watching!

So happy to hear your great news! Proud of all your hard work. Great advice! I wish you all the best.😀

That is awesome news! Congratulations, can’t wait to hear about you passing the 7! Thanks for watching!

Hi there! Thanks for watching and thank you for the feedback. Also, congratulations on passing your EA! We love hearing about people passing, even if they didn’t study with us. If you are interested, we have 675+ free Series 65 flashcards available to anyone to check out at our website! We wish you luck in the future!

Great job. You are doing all the right things. Thanks for watching. YOU GOT THIS! 😀

@@PassMastersPass Masters, the pleasure was mine.

So glad you found us! Keep up the good work. YOU GOT THIS 😀

I did put together an entire course to study for the SIE exam. You can find it at: passmasters.com/securities/sie/ Happy Studies 😀

I am so glad you are finding the videos helpful. Standard deviation is one of the most challenging topics on this test. Keep up the good work! 😀

@@PassMasters passed yesterday. Your standard deviation video helped me for sure get that question right. Who knows if it was the one that helped me pass. But I thank you.

@ That is amazing news! So happy to help and congratulations!

Thank you so much! 💙 Keep up the great work and thank you for warching!

I would just learn all you can. The way the questions are written will always vary, with the test being some easier questions and some wordier questions. You are doing all the right things by reviewing as much as you can before the exam! YOU GOT THIS! 😀

Glad you like it! The content covered is all from the content outline for these exams. Sometimes you will find some questions on the test that are longer and wordier, so just slow down and figure out what they are asking you. Law questions can be particularly intentionally confusing. YOU GOT THIS. Thanks for watching 😀

@@PassMasters thank you for your reply. I just want to make sure i know the content since I get every questions on here right, hope the exam is similar in terms of difficulty. Thank you for your help!

That's a good question....Back in the day (remember I have been teaching this class a very long time) the content outline had three types of systematic risks: interest rate risk, market risk, and purchasing power risk...KNOW THOSE THREE for sure are systematic. So with the question you reference #14 which is not unsystematic (rephrase - which is a type of systematic risk) I would always choose purchasing power over political risk as the better answer. Today's content outline doesn't explicitly state if political risk is systematic or unsystematic, I see the argument for systematic for sure. The outline today says systematic (e.g. interest rate risk, sector risk, and geopolitical ) and then unsystematic (e.g. credit risk, legal/regulatory risk, financial risk, issuer specific risk). Keep up the good work. Thanks for watching. 😀

I hope the exam went well for you 😀

How'd it go?

Thank you! Happy to help!

I am not sure that I understand your question. Can you rephrase?

Thank you! Keep up the great work

Thank you for watching!

You are CORRECT! That question (#3) now has two RIGHT answers...A and C are both FALSE. As of 2024 Roth 401(k)s are no longer subject to the RMD rules....that means NO ROTH accounts are subject to RMDs....not Roth IRAs, not Roth 401(k)s, not Roth 403(b)s....none of them are anymore. A wonderful improvement for sure. Thanks for pointing that out! Keep up the good work and thanks for watching 🙂

The test will be some straight forward questions like these and some will be more wordy. The concepts are what you want to MASTER! Keep up the good work! Thanks for watching 😀

you're welcome! thank you for watching

So happy to help and so happy to have you as a student! Thank you for watching!

Thank you for watching! Happy studies

Hi! I don't have just specific suitability classes. It is a topic found with most of the securities exams (thus our courses, but not as a stand online topic). This video will cover some of the concepts: ruclips.net/video/OSVUA12hXBM/видео.html Thanks for watching 😀

Thank you and good luck! So happy to help, you got this!

I appreciate it and thanks for watching!

👋

Thanks for watching. Thank you for the feedback. I believe the price for the course is well worth it, many vendors are higher. This content is my life's passion, so I am biased for sure. 😀

Hi! The Series 65 course has 45 topics. Each topic has a PDF to read, a video to watch, and a quiz to take. There are four sections to the course. Each section has essential concepts to know and a section exam. The course concludes with a final exam. There is no limit to how many times you take any exam, granted I want you to master the concepts not memorize the questions. There are 2,700 questions in the course, with more being added regularly. The course is designed so you can easily tell what topics you have not yet mastered. Hope to have you as a student soon. 😀

You’re so welcome! Thanks for watching!

Love that! 😀Thanks for watching!

If the client does not opt-out of the sharing, the default is that the sharing of nonpublic personal information is allowed. Under the Gramm-Leach-Bliley Act nonpublic personal information includes names, addresses, phone numbers, social security numbers, income, credit score, and information obtained through Internet collection devices (i.e., cookies)....crazy, I agree! 😀Thanks for watching!

You are so welcome! Life is an adventure. You are right that is a yoga book in the background. There are two books I have out always, both gifts from my father....a dictionary of finance and investment terms, and The Complete Book of Yoga Asanas....yoga has been in my life since I first went to college. I teach weekly yoga and meditation classes too. Teaching...both financial exams and yoga = two of my passions. Good eye. I wish you all the best. 😀

Every time you take the exam you will have a new set of questions. The concepts stay the same, but the exam is created from a large databank of questions each time. Thanks for watching 😀

@@PassMastersthank you!

Thank you for watching. I will be sending all good thoughts your way on 12/12! YOU GOT THIS 😀

How did you do. I take mine next month

@guitar556100 unfortunately I didn't pass :( I got a 64 but the next day I rescheduled for 01/30- I'll get this thing eventually! Good luck to you on your exam! The first time there was hardly any option questions, it was more so around prohibited activities and suitability

@@jillianperry5404 Keep up the good work and your positive attitude. Let us know if you have any questions we can help you with. You got it this next time. 😀

Thank you for watching! Retirement questions fall into section 3 of the SIE content outline. That section has a total of 23 questions, but oh so many topics.....in our PassMasters course I present 15 topics within Section 3. You can expect 1-2 questions on your exam related to retirement plans. I would know who each of them are good for, I would know they have limits (but it's not a limit test)....know that qualified accounts are funded with pretax dollars and are 100% taxable as ordinary income upon withdrawal, nonqualified accounts are funded with after tax dollars (and that money represents the client's cost basis). I will be sending all good thoughts your way this next week! YOU GOT THIS 😀

Thank you, here to help! 😃