Series 7 Guru

Written by: Series 7 Guru
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  • Summary

  • Podcasts focused on SIE Exam, Series 7 Exam, and Series 66 Exam Prep. Helping test takers pass the first time! We do cover any and all the other FINRA and NASAA exams, too! That includes the Series 6 Exam, Series 63 Exam, and the Series 65 Exam. Podcast and hundreds of other FINRA and NASAA Exam Prep FREE videos are available in video form @Series7Guru YouTube channel.
    Series 7 Guru
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Episodes
  • Interest Rates on the SIE Exam and the Series 65 Exam

    Interest Rates on the SIE Exam and the Series 65 Exam
    Jun 24 2024
    5 mins
  • Clearing Firm versus Introducing Firm on the SIE Exam

    Clearing Firm versus Introducing Firm on the SIE Exam
    Jun 22 2024

    To clear a trade a broker/dealer needs the following four departments: Order Department, Purchase and Sales Department, Margin Department, and a Cashiering Department. The flow of an order through a clearing firm 1. Order department transmits the order to the appropriate market center for execution. 2. Purchase and Sales Department generates confirmations and matches trades. 3. Margin Department determines whether monies and securities are due. 4. Cashiering department takes delivery of monies and securities. Introducing firms do not have these departments. They introduce their clients to a clearing firm. This relationship is "fully disclosed" to the customers. For example, on customer statements: "Newport Securities as introduced to National Financial"

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    2 mins
  • Settlement Date Change to T + 1 for Corporates and Munis

    Settlement Date Change to T + 1 for Corporates and Munis
    May 29 2024
    6 mins

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