FINRA SIE (Securities Industry Essentials) Exam Prep: One-Hour Radio Show

A one-hour securities radio show with Maya and Ben: music, Your Call quizzes and Myth or Fact across regulators and new issues, stocks and bonds, funds and options, placing trades and the lines you never cross. Two synthetic hosts, music between segments, Your Call quizzes with a thinking pause and Myth or Fact rounds. Answer aloud before Maya and Ben do. In this episode you will learn • Who's in charge: new issues, the regulators and SIPC • Stocks, bonds and their risks: the seesaw, the pecking order and munis • Funds and options: breakpoints, fund pricing and who carries the risk • Placing the trade: orders, T+1 settlement and margin • Lines you never cross: insider trading, guarantees and money laundering Chapters 00:00:00 Who's in charge: new issues, the regulators and SIPC 00:05:18 The regulators · Who's in charge 00:08:17 SIPC · Who's in charge 00:12:44 Stocks, bonds and their risks: the seesaw, the pecking order and munis 00:17:46 The pecking order · Stocks, bonds and their risks 00:20:31 Munis · Stocks, bonds and their risks 00:24:55 Funds and options: breakpoints, fund pricing and who carries the risk 00:30:31 Fund pricing · Funds and options 00:33:08 Who carries the risk · Funds and options 00:37:56 Placing the trade: orders, T+1 settlement and margin 00:43:10 T+1 settlement · Placing the trade 00:45:34 Margin · Placing the trade 00:49:57 Lines you never cross: insider trading, guarantees and money laundering 00:55:11 Guarantees · Lines you never cross 00:57:32 Money laundering · Lines you never cross Runtime: 62 minutes 3 seconds. Independent revision prepared October 20, 2026, for the FINRA SIE (Securities Industry Essentials) exam. Facts were checked against the exam owner's published outline and primary sources in October 2026. Keep studying with free practice questions and exam resources: https://open-exam-prep.com/practice/sie Join the continuous exam radio station: https://open-exam-prep.com/radio/exams/sie Created by Ran Chen and OpenExamPrep. Voices built with Fish Audio. More free resources: https://open-exam-prep.com/ Independent study material with synthetic hosts and AI-assisted production. This episode is not affiliated with or endorsed by the exam provider and does not guarantee a passing result.