Melhores podcasts sobre Finra (2024)

1
Covered puts deep dive (FINRA SIE, Series 4, 7, 9, 65, 66) 14:17

5d ago14:17

14:17

Covered puts are an option income strategy that is important for traders. These strategies can be tested on the FINRA SIE and Series 4, 7, and 9 exams, as well as on NASAA's Series 65 and 66 exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

1
Amendments to FINRA Rule 4210: Covered Agency Transactions 28:00

7d ago28:00

28:00

In late May, certain amendments to FINRA's margin rule, Rule 4210, went into effect to address a significant source of potential systemic risk and risk to FINRA member firms. The amendments introduced specific margin requirements related to covered agency transactions. On this episode, we talk to David Aman, senior advisor, and James Barry, directo…

1
Minimum maintenance in margin accounts (FINRA SIE, Series 7, 9, 10, and NASAA Series 65, 66) 8:45

12d ago8:45

8:45

In this podcast, we cover the concept of minimum maintenance in margin accounts. Then we walk you through a practice question that could look similar to an actual test question. Margin accounts can be tested on FINRA's SIE, Series 7, 9, and 10 exams, plus NASAA's Series 65 and 66 exams. This is one of many videos available on the Achievable platfor…

1
Combined equity and short / long margin (Series 7, 9, 10, 65, 66) 7:51

19d ago7:51

7:51

In this podcast, we walk through calculating equity in margin accounts and utilizing both long and short equity formulas. Then we work through a practice question that could look similar to an actual test question. Margin accounts are testable on the FINRA Series 7, 9, and 10 exams, as well as the NASAA Series 65 and 66 exams. Achievable has course…

1
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct 34:26

21d ago34:26

34:26

Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative (HRR) Program is on the case. On this episode, Brooks Brown, Senior Director, and Eric Hebert and John Salerno, Investigative Directors, from the HRR unit join us to explain how they identify and mo…

1
Taxes on options (Series 4, Series 7, and Series 9) 13:49

26d ago13:49

13:49

In this podcast, we discuss the tax implications of options transactions and work through a practice question for the FINRA Series 7 exam on the topic. Taxes on options can be tested on the FINRA Series 4, 7, and 9 exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at…

1
Options hedging strategies: short stock with long call option (SIE, Series 4, 7, 9, 65, 66) 15:31

1M ago15:31

15:31

In this podcast, we walk you through an option hedging strategy that allows you to short stock while capping your downside: short stock and a long call. Options hedging strategies are useful in the real world and also a tested concept on the the FINRA SIE and Series 4, 7, and 9 exams, plus on NASAA's Series 65 and 66 exams. Achievable has courses w…

1
Insider Trading Detection: FINRA’s Vital Role in Ensuring Market Integrity 23:39

1M ago23:39

23:39

Every day, FINRA's Insider Trading Detection Program uses sophisticated technology and analytics to monitor 100% of trading in stocks, options and bonds for potentially suspicious activity around material news events, resulting in hundreds of referrals to the SEC and law enforcement every year. On this episode, we hear from Sam Draddy, a Senior Vic…

1
Naming options spreads (tested on the Series 7 exam) 13:25

1M ago13:25

13:25

This podcast is a complete overview of naming option spreads. After going through them with you, we then walk you through a practice question that could be similar to an actual FINRA test question on this topic. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://a…

1
Options strategies: Short straddles (Series 4, 7, 9, 65 and 66) 12:00

2M ago12:00

12:00

We discuss short straddle options strategies, their risk & return profile, and how investors utilize them. Additionally, we analyze a practice question that could be similar to an actual test question on this topic. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https…

1
Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team 34:08

2M ago34:08

34:08

Senior investor protection has long been a priority for FINRA, and the Vulnerable Adults and Seniors Team (VAST) is at the forefront of FINRA's efforts in this space. On this episode, we hear from Brooke Hickman, Director of the Vulnerable Adults and Seniors Investigative Team, Mike Paskin, a manager with VAST Investigations, and Liz Yoka, a manage…

1
Options strategies: Long straddles (Series 4, 7, 9, 65 and 66) 12:48

2M ago12:48

12:48

We discuss long straddle options strategies, their risk & return profile, and how investors utilize them. Additionally, we analyze a practice question that could be similar to an actual test question on this topic. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https:…

1
Sell stop limit orders - how they work (FINRA SIE, Series 7, 65, 66) 8:55

2M ago8:55

8:55

In this podcast, Brandon explains sell stop limit orders and how investors utilize them in the secondary market to make transactions. Then we analyze a practice question that could be similar to an actual FINRA or NASAA test question on sell stop limit orders. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, …

1
Preparing for Change: What to Know About the Shift to T+1 27:05

2M ago27:05

27:05

On May 28th, U.S. markets are moving to a one-day settlement cycle, familiarly known as T+1. This move, which returns the settlement time frame back to a point at which it last stood a century ago, will have wide ranging impacts for firms, investors and regulators. On this episode, we hear from James Barry, Director of Credit Regulation with FINRA'…

1
Buy stop limit orders - how they work (FINRA SIE, Series 7, Series 65, Series 66) 10:27

2M ago10:27

10:27

In this podcast, Brandon explains buy stop limit orders and how investors utilize them in the secondary market. Then we analyze a practice question that could be similar to an actual FINRA or NASAA test question on buy stop limit orders. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our cou…

1
Sell stop orders - tips and tricks for FINRA exam questions (FINRA SIE, Series 7, 65, 66) 7:24

3M ago7:24

7:24

In this podcast, Brandon walks you through sell stop orders and how investors utilize them in the secondary market. Then we analyze a practice question that could be similar to an actual FINRA or NASAA test question on sell stop orders. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our cour…

1
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team 34:58

3M ago34:58

34:58

These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with Bryan Smith, the new senior vice president of FINRA’s Complex Investigations and Intelligence (CII) team and Brita Bayatmakou, vice …

1
Buy stop orders - tips and tricks for FINRA exam questions (SIE, Series 7, 65, 66) 9:54

3M ago9:54

9:54

In this podcast, Brandon goes over buy stop orders and how investors use them in the secondary market. Then we analyze a practice question that could be similar to an actual FINRA or NASAA question on buy stop orders. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at htt…

1
Sell limit orders overview (FINRA SIE, Series 7, 65, 66) 8:56

3M ago8:56

8:56

In this podcast, Brandon goes over how sell limit orders work and how investors use them in the secondary market. He then goes over a practice question for the sell limit orders that resembles sell limit order questions on FINRA and NASAA exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try…

1
MRTS 2.0: A Redesign for a Rapidly Evolving Market 24:57

3M ago24:57

24:57

U.S. financial markets today are not what they were ten years ago, five years ago, or even just a couple of years ago. Over the years, FINRA's Market Regulation and Transparency Services (MRTS) team successfully grew and evolved to meet the changing demands of the markets they oversaw. But recently, the group took time to ask, how would we build th…

1
Buy limit orders overview (FINRA SIE, Series 7, 65, 66) 9:23

3M ago9:23

9:23

In this podcast, Brandon goes over how buy limit orders work and how investors use them in the secondary market. He then goes over a practice question for the buy limit orders that resembles buy limit order questions on FINRA and NASAA exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try ou…

1
Understanding market orders (FINRA SIE, Series 7, Series 65, Series 66) 9:09

3M ago9:09

9:09

We walk you through understanding market orders and how to utilize them in the secondary market. Then, we go over an Achievable practice question on the topic so you're prepared for your exam. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

1
An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry 37:24

4M ago37:24

37:24

Generative Artificial Intelligence (AI) and large language models (LLM) are taking the world by storm, presenting numerous opportunities to create business efficiencies. While the new technologies offer many potential benefits to firms, regulators and investors, they also introduce unique risks. On this episode, we hear from Brad Ahrens, senior vic…

1
How to calculate bid and ask spreads - market makers (SIE, Series 6, 7, 65, 66 exams) 10:47

4M ago10:47

10:47

In this podcast, Brandon shares how to calculate bid & ask spreads, which are generally published by market makers and securities dealers. Then, he goes over an Achievable practice question together with you to ensure you understand the concepts you've learned. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63,…

1
Dividend dates - FINRA SIE & FINRA Series 7 13:21

4M ago13:21

13:21

We discuss cash dividends paid on common stock investments and related dates. Additionally, we analyze a practice question that could be similar to an actual test question on this topic. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

1
Investors of Color: New Insights from FINRA’s Investor Education Foundation 28:14

4M ago28:14

28:14

The FINRA Investor Education Foundation has released a new report, Investors of Color in the United States, examining the behavior and attitudes of investors of color based on data from the FINRA Foundation's National Financial Capability Study coupled with a series of focus groups conducted with young Black/African American, Hispanic/Latino and As…

1
Calculating the intrinsic value of Put options - FINRA SIE, Series 6, 7, 63, 65, 66 10:41

4M ago10:41

10:41

What's the value of your put options? In this episode, we explain the concept of intrinsic value as it applies to options, and then show examples of how to calculate it for put options specifically. Then, we walk you through a practice question from Achievable's FINRA courses that may be similar to an actual FINRA test question on this topic. Achie…

1
How to calculate the intrinsic value of Call options - FINRA SIE, Series 7 11:22

4M ago11:22

11:22

What's the value of your call options? In this episode, we explain the concept of intrinsic value as it applies to options, and then show examples of how to calculate it. Then, we walk you through a practice question from Achievable's FINRA courses that may be similar to an actual FINRA test question on this topic. Achievable has courses with indus…

1
From NCFC to Enforcement Head: Reintroducing Bill St. Louis 26:48

4M ago26:48

26:48

FINRA Enforcement works tirelessly on the front lines of investor protection, whether looking into cases of fraud or ways that bad actors try to manipulate the markets. This tremendous undertaking demands steadfast leadership. On this episode, we meet Bill St. Louis, the former head of FINRA’s National Cause and Financial Crimes Detection Program a…

1
How to calculate total return - updated for 2023 (FINRA SIE, Series 6, 7, 65, 66) 7:58

5M ago7:58

7:58

You'll need to calculate the total return of an investment strategy in order to pass the FINRA SIE and other exams, and in your work as an investment professional. In this podcast, updated for 2023, we show you how to calculate total return, what things you need to watch out for, and then guide you through a total return problem in Achievable's FIN…

1
Real world example of Form ADV Part 2B (Series 63, 65, 66) 6:58

5M ago6:58

6:58

Form ADV Part 2B is a key form that investment advisers use to make disclosures to government agencies. It can be hard to fully appreciate Form ADV Part 2B without context, so in this podcast, we walk you through a real world example of Form ADV Part 2B. This should help you in preparing for the Series 63, 65, and 66 exams. Achievable has courses w…

1
Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam 12:31

5M ago12:31

12:31

FINRA recently wrapped up a targeted review of the practices of certain member firms when it comes to communicating with retail investors regarding crypto products and services. On this episode, Ira Gluck, Senior Director, Advertising Regulation at FINRA, joins us to share the results of that crypto asset communications sweep that began in November…

1
Form ADV Part 2B Overview (tested on the Series 63, 65, 66) 9:35

5M ago9:35

9:35

Form ADV Part 2B is an important form that investment advisers use to make disclosures. The use of this form is tested on the NASAA Series 63, 65, and 66 exams. In this podcast, we go over the form's contents, how it is used, and walk through a practice question that you might see on the exam. Achievable has courses with industry best pass rates fo…

1
Real world example of Form ADV Part 2A 11:29

5M ago11:29

11:29

The investment adviser disclosure Form ADV Part 2A is one of the key things IA compliance needs to manage and is tested on the NASAA Series 63, 65, and 66 exams. In this podcast, we walk through a real world example to help you understand the form and how it can show up on the exams. Achievable has courses with industry best pass rates for the FINR…

1
2024’s Must-Read | FINRA’s Annual Regulatory Oversight Report 36:50

5M ago36:50

36:50

As a self-regulatory organization, information sharing is key to FINRA's pursuit of its mission of investor protection and market integrity, and no single resource is a better example of that than FINRA's Annual Regulatory Oversight Report. On this episode, Ornella Bergeron, Senior Vice President of Risk Monitoring, Omer Meisel, Executive Vice Pres…

1
Form ADV Part 2A overview for Series 63, 65, and 66 exams 11:30

6M ago11:30

11:30

Form ADV Part 2A is an investment adviser disclosure form that is tested on the NASAA Series 63, 65, and 66 exams. In this podcast, we go over what the form contains, what it's for, and walk through a practice question that you might see on the exam. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66…

1
Walkthrough of Form ADV Part 1 + a Form ADV practice question from the Series 63, 65, and 66 exams 9:47

6M ago9:47

9:47

Form ADV is the form used to register an investment adviser, and a tested topic on the NASAA Series 63, 65, and 66 exams. In this podcast, we break down Form ADV Part 1 and also go through a Series 63, 65, and 66 practice question on the topic to show how it'll show up on the exam. Achievable has courses with industry best pass rates for the FINRA …

1
Investment adviser definition (FINRA SIE, Series 63, 65, 66) 13:25

6M ago13:25

13:25

What is an investment adviser? We go through the legal definition thoroughly and then analyze a practice question to show how it shows up on the FINRA exams, especially the Series 63, 65, and 66. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

1
What you need to know about Federal Covered Advisers for the Series 63, 65, and 66 exams 14:52

6M ago14:52

14:52

The criteria and process for becoming a federal covered adviser registered with the SEC are tested on the Series 63, 65, and 66 exams. In this podcast, Brandon walks you through the requirements for being federal covered, how you can lose that status, and other things you'll see on these tests. Achievable has courses with industry best pass rates f…

1
How to calculate after tax return on investments (FINRA Series 6, 7, 65, 66) 11:25

7M ago11:25

11:25

Learn how to calculate after-tax return on you or your client's investments in this podcast. You will learn the goal of this calculation, how to interpret related FINRA test questions effectively, and why this way to measure return can have an important impact on your investment strategy. Achievable has courses with industry best pass rates for the…

1
Common stock voting rights for the FINRA SIE exam 12:28

7M ago12:28

12:28

What are the voting rights of common stockholders? This is a topic you need to know inside and out on the FINRA SIE exam. We explain all aspects of common stockholders' voting rights in detail, including voting for the board of directors, voting on resolutions, and how voting powers and structures work. Achievable has courses with industry best pas…

1
Encore | Preparing for the Unexpected: The Ins and Outs and the Value of Succession Planning 27:24

7M ago27:24

27:24

Succession planning, catastrophe planning, contingency planning--whatever you want to call it, these plans are important not just for customers and registered representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we talk to Jeanette Wingler, FINRA’s Special Assistant to the CE…

1
Generating income with options - covered calls & covered puts walkthrough (FINRA SIE + S7, 65, 66) 11:28

7M ago11:28

11:28

We teach you how to use options income strategies, notably covered calls and covered puts, as part of your trading repertoire. These strategies are useful for retail traders with options experience, and also tested on the FINRA SIE and FINRA Series 4, Series 7, and Series 9; plus the NASAA Series 65 and Series 66 exams. Achievable has courses with …

1
2023 Small Firm Conference: A Fireside Chat with Robert Cook 13:22

7M ago13:22

13:22

The small firm community, those firms with 150 or fewer registered financial professionals came together in October to discuss and engage on key areas of concern at the Small Firm Conference. On this episode, we go behind the scenes of this year's event to share with you the fireside chat between FINRA CEO Robert Cook and FINRA's Head of Member Rel…

1
Learn to hedge your Options trades (FINRA SIE, Series 7, 65, 66) 12:05

7M ago12:05

12:05

We teach you how to use hedging strategies in your options trading to limit your risk. This is both useful for retail traders and a key options topic tested on FINRA and NASAA exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

1
FINRA SIE & Series 7 - Convertible preferred stock & conversion preferences 17:25

7M ago17:25

17:25

In this podcast, Achievable author Brandon Rith explains how to find the parity price in a convertible preferred stock question that you will likely see on the FINRA SIE or FINRA Series 7 exams. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our courses for free at https://achievable.me.…

1
Covered calls walkthrough for FINRA exams - SIE, Series 7, Series 65, Series 66 17:35

8M ago17:35

17:35

In this podcast, Achievable author Brandon Rith picks apart an options income strategy (covered calls) question for the FINRA SIE. He breaks down each part of the problem and how to solve it in a straightforward, easy to understand way using a real world example. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 6…

1
Scary Money: The Latest Research from FINRA Investor Education Foundation 23:00

8M ago23:00

23:00

Forget ghosts and goblins, few things are as scary as household finances for U.S. adults. In a recent nationally representative survey, more than 1,000 adults shared what worries them most in their lives. The most common answer? Money. On this episode, we sit down with Gerri Walsh, the head of the FINRA Investor Education Foundation, to discuss the…

1
FINRA SIE + Series 7, 65, 66 - Options hedging strategies with T-chart 18:54

8M ago18:54

18:54

We walk you through an options hedging strategy with a long stock hedged by a long put, using the popular T-chart approach. You will find hedging strategy questions on the FINRA SIE and Series 7, as well as the NASAA Series 65 and 66. Achievable has courses with industry best pass rates for the FINRA SIE, Series 6, 7, 63, 65, and 66. Try our course…

1
2023 Ketchum Prize: The Ultimate Fraud Fighter 29:49

8M ago29:49

29:49

American consumers and investors are losing billions of dollars each year to financial fraud. It's a devastating problem for which almost no one is completely immune. But the 2023 FINRA Foundation Ketchum Prize recipient has dedicated his life to understanding what makes someone susceptible to fraud—and pioneering ways to fight it. On this episode,…

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