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Series 7 Whisperer
capadvantage
101 episodes
2 weeks ago
Send us a text he provided text outlines the fundamental legal frameworks governing the American financial industry, specifically focusing on the Securities Act of 1933 and the Securities Exchange Act of 1934. The 1933 Act establishes protocols for new investment offerings, requiring companies to provide full transparency through registration statements and prospectuses to protect the public from fraud. In contrast, the 1934 Act regulates the secondary market, overseeing the ongoing trading o...
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Investing
Education,
Business
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All content for Series 7 Whisperer is the property of capadvantage and is served directly from their servers with no modification, redirects, or rehosting. The podcast is not affiliated with or endorsed by Podjoint in any way.
Send us a text he provided text outlines the fundamental legal frameworks governing the American financial industry, specifically focusing on the Securities Act of 1933 and the Securities Exchange Act of 1934. The 1933 Act establishes protocols for new investment offerings, requiring companies to provide full transparency through registration statements and prospectuses to protect the public from fraud. In contrast, the 1934 Act regulates the secondary market, overseeing the ongoing trading o...
Show more...
Investing
Education,
Business
Episodes (20/101)
Series 7 Whisperer
Securities Acts Explained for SIE Exam
Send us a text he provided text outlines the fundamental legal frameworks governing the American financial industry, specifically focusing on the Securities Act of 1933 and the Securities Exchange Act of 1934. The 1933 Act establishes protocols for new investment offerings, requiring companies to provide full transparency through registration statements and prospectuses to protect the public from fraud. In contrast, the 1934 Act regulates the secondary market, overseeing the ongoing trading o...
Show more...
2 weeks ago
15 minutes

Series 7 Whisperer
Series 7 Exam Prep:529 Plans.. Absolutely Testable
529 plans show up on the Series 7 more than people expect — and most students miss points because of tax timing, not definitions. In this episode, we do a deep dive on 529 College Savings Plans for the Series 7 exam, including: • How 529 plans are taxed • Contribution rules and 5-year gift tax averaging • Qualified vs nonqualified withdrawals • State vs federal tax treatment • What a registered representative must disclose when a client uses an out-of-state 529 • The calendar year vs academi...
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3 weeks ago
5 minutes

Series 7 Whisperer
Open End Funds vs Closed End Funds:A casual conversation
Open-End vs. Closed-End Funds: The Real Difference (Without the Fluff)Let’s clear something up — not all funds are created equal. You’ve probably heard of mutual funds and closed-end funds, and maybe someone even told you they’re “basically the same.” They’re not. Not even close. Here’s the no-BS breakdown. 1. Open-End Funds: The Mutual Fund You Actually KnowThis is your classic mutual fund. It’s “open” because new shares can be created or redeemed every day. You invest directly with the fund...
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2 months ago
13 minutes

Series 7 Whisperer
Private Credit: what the heck is it?
3 months ago
14 minutes

Series 7 Whisperer
Series 65 and Series 66 Exam: Behavioral Finance
3 months ago
11 minutes

Series 7 Whisperer
Series 7 Exam prep: What is an ADR?
3 months ago
3 minutes

Series 7 Whisperer
ISO Versus NSO Stock Options Showdown
extensive, comparative analysis of two primary types of employee compensation: Incentive Stock Options (ISOs) and Nonqualified Stock Options (NSOs). The document uses a conversational, outline format to detail the crucial differences concerning tax treatment, emphasizing that ISOs offer significant potential tax advantages, such as long-term capital gains rates, but carry the risk of the Alternative Minimum Tax (AMT). Conversely, NSOs are described as more flexib...
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3 months ago
15 minutes

Series 7 Whisperer
EA Just Leveled Up… to $55 Billion
structure and context of a potential $55 billion leveraged buyout (LBO) of the major gaming company Electronic Arts (EA), which could become one of the largest LBOs in history. It explains the mechanics of the deal, including fundamental concepts like private equity and going private, often using the analogy of a house mortgage to clarify the role of equity versus debt financing. Key players in the purchasing consortium are identified, notably Saud...
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3 months ago
14 minutes

Series 7 Whisperer
SIE Exam Content Outline part 3
3 months ago
28 minutes

Series 7 Whisperer
Series 7 Exam Content Outline Part 1
n this first installment of our Series 7 Content Outline walkthrough, we dive deep into Function 1 and Function 2—critical foundational areas that set the stage for success on the exam. 🚀 What You’ll Learn in This Video: Function 1: Seeks Business Learn the ins and outs of engaging new and existing clients effectively. We cover communication standards, marketing best practices, and regulatory approvals required under FINRA and SEC rules Why Watch Part 1? It's the essential foundatio...
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5 months ago
54 minutes

Series 7 Whisperer
SIE Complete PArt 2 ( Offerings )
I am going through the SIE exam content outline and covering the important topics
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6 months ago
33 minutes

Series 7 Whisperer
Complete SIE Part 1 ( SIE Exam content outline explained
6 months ago
28 minutes

Series 7 Whisperer
SIE Exam Prep: A conversation about Equities
A casual conversation about Equities Common, Preferred and ADRs
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7 months ago
15 minutes

Series 7 Whisperer
SIE exam prep the Regulators...
im trying out a new format... please let me know what you think in the comments
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8 months ago
15 minutes

Series 7 Whisperer
WTF!! China... Its time to play fair
Today we’re diving into a controversial global power play: how China claims “developing nation” status at the WTO — and why that label is a big f*ing deal.** Even though China’s the second-largest economy in the world, it still gets benefits meant for struggling nations. We break down how that status gives them trade advantages, longer timelines for environmental rules, subsidies, and why the U.S. and other countries are calling BS. We’ll talk about the double standard China plays — acting li...
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8 months ago
2 minutes

Series 7 Whisperer
SIE Exam Terms and definitions (Series 7 Exam also )
9 months ago
1 hour 57 minutes

Series 7 Whisperer
SIE and Series 7 Exam: Terms and Definitions Part 1
Learn 500+ key terms for the Series 7 and SIE Exam in this 3 part prep video! Whether you're just starting or need a deep review, this video breaks down must-know definitions for stocks, bonds, options, retirement accounts, annuities, investment companies, and more — all in plain English.
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9 months ago
1 hour 59 minutes

Series 7 Whisperer
Series 7 Exam Prep: Bottom Up vs Top Down investing
Dive into the fascinating world of stock market analysis as we explore bottom up investing and top down charts approaches! 📈 Learn how fundamental analysis shapes investment decisions, and discover why value investing remains a timeless strategy. This comprehensive guide to investment methodologies will help both new and experienced traders make informed decisions. #investing #stockmarket #analysis
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10 months ago
2 minutes

Series 7 Whisperer
Wall Street Wrap Up Feb 11th, 2025
11 months ago
1 minute

Series 7 Whisperer
10 Top 10 Reasons FINRA Should Let Anyone Take the Series 7 Exam (No Sponsorship Needed!)
Is FINRA's sponsorship requirement for the Series 7 exam holding people back? In this video, we dive into 10 powerful reasons why FINRA should allow anyone to take the Series 7 exam without needing a sponsor. From promoting diversity and leveling the playing field to helping career changers and reducing risk for employers, this policy change would benefit everyone. Whether you're an aspiring financial professional or just curious about breaking into the industry, this video will give you plen...
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11 months ago
6 minutes

Series 7 Whisperer
Send us a text he provided text outlines the fundamental legal frameworks governing the American financial industry, specifically focusing on the Securities Act of 1933 and the Securities Exchange Act of 1934. The 1933 Act establishes protocols for new investment offerings, requiring companies to provide full transparency through registration statements and prospectuses to protect the public from fraud. In contrast, the 1934 Act regulates the secondary market, overseeing the ongoing trading o...