Prefer listening over reading? These AI-generated podcast episodes cover the same material as the written chapters, perfect for commutes, workouts, or whenever you want to study without staring at a screen.
Each episode is designed to be standalone - no need to listen in order. Pick the topic you're studying and hit play.
A comprehensive overview of financial market structure, covering equity securities, bond mechanics, options trading, and the regulatory framework that governs it all.
A deep dive into how securities markets are structured - from the first market (exchanges) through the fourth market (dark pools). Covers the critical distinction between brokers and dealers, and why understanding market structure matters for the SIE exam.
From order ticket to settlement - how trades actually get processed behind the scenes. Covers prohibited trading practices, clearing corporations, T+1 settlement, and good delivery requirements.
Everything that happens when you open a brokerage account - from customer identification and anti-money laundering to suitability requirements and senior investor protections. Covers CIP, KYC, Regulation S-P, Reg BI, Form CRS, and the rules that protect vulnerable investors.
An extended deep dive into the Customer Identification Program (CIP), Know Your Customer (KYC) requirements, and suitability obligations. Covers anti-money laundering thresholds, SAR/CTR/MIL requirements, the three components of suitability, Reg BI's four obligations, and senior investor protections in greater detail.
How margin accounts work and why they exist - from the 1929 crash to modern Reg T requirements. Covers initial margin, maintenance requirements, short selling, and the paperwork needed to open a margin account.