SIE Exam Prep Investment Risks 33 Questions!!! EXPLICATED

SIE Exam Prep Customer Accounts and T... is the next one
Time stamps:
00:00 Intro
1:32 Common stock
2:40 Preferred stock
4:00 Rights
4:38 Warrants
5:30 ADRs
6:14 Order in liquidation
6:52 Statutory versus cumulative voting rights
7:48 Convertibles
8:18 Control stock.  Control persons. Volume limitations of Rule 144
10:33 US Government securities
11:13 GNMA
11:55 Corporate bonds
12:44 General Obligation and Revenue Municipal Bonds.
14:13 Money market securities
16:22 Coupon rate AKA nominal yield AKA fixed or stated rate of return.  Relationships of nominal yield, current yield, yield to maturity and yield to call
17:43 Credit ratings
18:14 Call provisions.  Call risk.
19:36 Short term bonds versus long term bonds
20:19 Inverse relationship of interest rates and bond prices
20:53 Negotiated versus firm commitment underwritings
21:42 Options
24:40 Opening and closing transactions
27:05 Uncovered call versus covered call
27:38 American style versus European style exercise
28:14 Option Clearing Corporation Disclosure Document
29:19 Open end funds versus closed end funds
30:03 UITs
30:28 Variable annuities
32:13 12b-1 fees
33:29 NAV
34:09 Breakpoints.  GOOD!
34:50 Letter of Intent
34:29 Breakpoint Sale.  BAD!
30:36 529s
37:24 ABLE accounts
38:48 Direct Participation Programs (DPPs).  Partnerships.
39:42 REITs
41:29 ETFs
42:09 ETNs
43:40 Credit risk
43:57 Currency risk
44:13 Inflationary risk
44:44 Interest rate risk
45:05 Liquidity risk
45:20 Systematic or market risk
45:50 Non systematic risk or selection risk