Meeting purpose
To provide training and review key concepts for the SIE exam
Key Takeaways
Reviewed mutual funds, options, margin accounts, and other key topics
Practiced sample exam questions and discussed correct answers/reasoning
Instructor will hold an additional 1-hour Q&A session on Sunday or Monday evening
Participants should focus on additional reading and knowledge building in the final week before the exam

Topics
Mutual Funds
Reviewed A, B, and C share classes and their fee structures
Discussed breakpoints, rights of accumulation, and letter of intent
Covered NAV calculation, forward pricing, and prospectus requirements

Options
Reviewed call and put options, including max gain/loss scenarios
Practiced calculating breakeven points for various option strategies
Discussed index options and cash settlement

Margin Accounts
Reviewed Regulation T 50% initial margin requirement
Discussed maintenance margin requirements (25% for long positions, 30% for short)
Covered minimum equity requirement of $2,000

Order Types
Reviewed market orders, limit orders, stop orders, and stop limit orders
Practiced identifying appropriate order types for different scenarios

 

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