Blue Collar Finance

Live Q&A All FINRA and NASAA Exams Feb 29th 2024 ( REPLAY )

Series 7 Exam live Q&A Feb 27th 2024 ( Replay)

Link to video:https://youtube.com/live/iNuCesHUsPASummary
Stocks, Private Placements, and Troubleshooting
Series 7 Whisperer  discussed various topics including buying and selling stocks, the use of protective stops, and the concept of private placements and crowdfunding. He also mentioned the importance of understanding stock trading ranges.
Options Trading Strategy Discussion
Kenneth led a discussion about an options trading strategy, using specific terminology and examples. He emphasized the importance of understanding the options and demonstrated how to calculate potential outcomes. Kenneth also suggested that participants review videos on mutual funds and annuities to reinforce their knowledge. The meeting encountered some technical issues, with Kenneth experiencing difficulty in displaying certain figures. Despite this, he remained confident about the participants' ability to grasp the strategy and encouraged them to continue practicing.
Stock Trading Basics and Challenges
Kenneth provided an in-depth discussion on the basics of stock trading. He emphasized the importance of understanding balance sheets and income statements, and the role of technical analysis, including support and resistance levels. Kenneth also touched upon the challenges of options trading and shared his personal study tool recommendations, suggesting practice with charts. He briefly explained fundamental analysis, specifically the PE ratio and dividend payout ratio. Kenneth stressed the importance of buying and holding strategies, recommending continuous learning and practice. He also mentioned the tax free yield of bonds, discussed secondary offerings, and highlighted the importance of focusing on various levels, including 101, 102, 103, 104, and one to five.
Pricing Secondary Stock Offerings
Kenneth explained the process of pricing a secondary or additional stock offering. He highlighted the risk of people involved in the deal artificially inflating the price to make more money. Kenneth also shared personal experiences and emphasized the importance of family. He outlined several regulations related to stock offerings, including restrictions on underwriters buying shares, the behavior of selling shareholders, and the ability to stabilize the issue. Kenneth recommended further reading for a deeper understanding and discussed potential investment strategies.
Reg M , Crowdfunding, Exam Tips, Study Strategies, Platform Optimization
Kenneth discussed the concept of Reg M  and its role in preventing manipulation of additional offerings. He advised Marie, who is preparing for a test related to crowdfunding, to contact Finproalition.com for guidance. Kenneth shared his personal experiences with taking the test and emphasized the importance of suitability and customer counts in their work. He also discussed strategies for studying and preparing for exams, emphasizing the importance of understanding the material instead of just memorizing, and the benefits of joining study groups. Kenneth also discussed the optimization of the 'Achievable' platform for phone use and its selling options. He introduced a new method involving 20-minute intervals with breaks to enhance focus and accountability. Kenneth also discussed the process of studying for the Series 7 and shared his study techniques.
Next steps
Kenneth will look into the 82 private placements and the 7 private securities offering.
Kenneth will work on more Series 3 content and post it on his YouTube channel.
Kenneth will try to figure out the crowdfunding license requirements and provide assistance to Marie.
Attendees should read the book, work through the options math playlist, and take chapter quizzes and finals.
Attendees should join study groups and the Facebook group for additional help.
Attendees should use the Pomodoro method to stay on track with their studies.
Attendees should report their progress every Tuesday and Thursday in the chat.
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Series 7 Exam prep: What is REIT?( DPP bonus)

Unearth the golden opportunities that REITs and Limited Partnerships offer with Ken from Capo Advantage Tutoring. First off, Ken dives into Real Estate Investment Trusts (REITs) - an investment option where you're buying shares of a vast real estate portfolio and reaping advantages of diversification, more liquidity, and tax benefits. Unwrap the mystery around REITs as Ken explains the types - Equity REITs, MREITs, Public Non-listed REITs, and Private REITs, expressing their unique functionalities, advantages, and their exciting nature of allowing regular people to invest in real estate seamlessly.Moving to the realm of Limited Partnerships, Ken expounds on their structure, tax benefits, and different types which include Real Estate Limited Partnerships, Equipment Leasing, and Oil and Gas. Discover in detail about the risks, rewards, and tax write-offs associated with the three categories of Oil and Gas partnerships - Wildcat, Developmental, and Income.This comprehensive guide offers a deep understanding of complex investment avenues, from their initial setup to their financial implications, revealing an overlooked yet profitable world of real estate and its associated ventures.

Federal Securities Acts ( Series 65 and Series 66 Exam )

In this comprehensive tutorial, gain critical insights into the Federal Securities Act, a must for all preparing for the FINRA and NASA exams. Relevant to Series 63, 65, and 66, this discussion demystifies complex concepts related to Acts of 33, 34, 39, 40 and other federal laws. Ken, the course creator, will guide you through the world of pre-filing, registrations, and prospectus, emphasizing the importance of error-free and authentic documentation to avoid legal troubles.Explore the posts in the 'effective' phase, understanding the allocation of shares, restrictions for the brokerage industry, and required documentation. Furthermore, delve into the intricacies of the IPO process, from over-the-counter and follow-up rounds to exchange-listed offerings, breaking down the risks, legal requisites, and timeline for each.In this episode, we'll zoom in on the Act of 1933, focusing on securities that are exempt from registration. Learn about the roles of various players in relation to this Act, such as issuer companies, government agencies, non-profit organizations, U.S banks, and trust companies. Join us to unravel the nuances of securities regulations and the dynamics of the financial market.Dig deeper into the lesser-talked about regulations, such as the Act of 1939, as we share real-life anecdotes on money laundering from the '80s, discuss the three stages of money laundering, and shed light on the mandatory annual compliance training every financial firm has to follow.Expand your understanding of the role of municipal securities rule and Making Board (MSRB) in enforcing rules for various entities. Lastly, we'll cover the Investment Company Act of 1940 and the Investment Advisors Act of 1940 to understand their jurisdiction. Tune in to this reservoir of invaluable information, ideal for finance students, practitioners, and anyone interested in learning about securities regulations!

Series 7 Exam Prep: A Comprehensive Guide to ETFs and ETNs

Dive deep into the complex world of Exchange Traded Funds (ETFs) with Ken from Capital Advantage Tutoring. Explore the foundational premises and workings of ETFs, a type of pooled investment vehicle, as regulated by the Investment Company Act of 1940. Understand the correlation between the value of an ETF and the securities it owns, and simplify the processes involved in buying and selling ETF shares.Get clarity on how ETFs differ from mutual funds in terms of management, taxable income, and their amazing flexibility to track indices, commodities and various securities. Understand why ETFs are known as passive investments and how their quarter-end rebalancing activities contribute to this categorisation.Ken dissects the impacts of expense ratios and tracking errors on ETF performance compared to the tracked index. Learn about the multiple types of ETFs, their characteristics, and risks involved when investing in leveraged and inverse ETFs and Exchange Traded Notes (ETNs).This episode also starkly highlights the difference between ETFs and ETNs, shedding light on the debt-nature of ETNs and why they may be less appealing to investors due to default risk. Walk through real-life scenarios to better understand market fluctuations and their effects on the value of your investment. If you're seeking to understand ETFs and ETNs in the current investment landscape, this podcast is for you.

Series 7 Exam :Option Collars

Kenneth discussed the concept of a "collar" strategy in stock trading. They explained that this strategy, which involves buying a put option and selling a call option, is used to protect against market downturns while also limiting potential gains. They demonstrated the calculations involved in the strategy, highlighting that the break-even point is the sum of the premium received and the cost spent, minus the premium received. Kenneth also showed an example of a cashless collar scenario, emphasizing that the maximum loss with this strategy is 5, while the maximum gain is also 5. They concluded by inviting listeners to join their live sessions to learn more.
https://youtu.be/zrlWKdosa7w?si=HL9yzAhxROmO3GB5
 
 

Series 7 Exam: Option Math( opening and closing transactions )

Kenneth discussed the process of buying and selling options in the stock market. They explained that the product being bought or sold is essentially a piece of paper representing a contract. They demonstrated this through an example where an option was bought at $5 and then sold at $12, resulting in a profit of $7. Kenneth also highlighted a scenario where the option was closed at its intrinsic value, which can be confusing for beginners. They stressed that while the process may seem complex, it's actually quite simple once understood.
Investment Strategy and Loss Calculation
Kenneth explained their investment strategy, specifically their practice of buying and selling options, and how they calculates their losses. They detailed a scenario where they bought options at $7 and sold them at $5, resulting in a loss of $200. They further elaborated on how to calculate losses when the same actions are repeated multiple times, using a hypothetical example of a $200 loss multiplied by four times. Kenneth also touched upon the concept of 'intrinsic value' in stocks and how it affects the calculation of losses. They concluded the discussion by preparing to walk through another investment scenario.
Options Buying and Selling Process Explained
Kenneth discussed the process of buying and selling options, using examples to illustrate their points. They explained how to calculate profits and losses, emphasizing the importance of considering the intrinsic value of the options. They also demonstrated how to adjust the calculations when the stock price changes. Kenneth concluded by encouraging listeners to check out their YouTube classes and emphasized the importance of washing hands.

Series 63 The Administrator and Jurisdiction ( Series 65 and Series 66 )

Kenneth discussed the role of a state regulator, the administrator, in overseeing security transactions. He explained the concept of an offer and how it can be regulated, as well as the distinction between an offer and a sale in the context of share transactions. Kenneth also elaborated on the registration process with the administrator, the powers of the administrator, and the importance of record keeping for broker dealers and Federal Ias.

Career change into Finance? Look before you Leap

If you were thinking of a career of jumping into finance, we welcome you, but you should know that it’s not all wine and roses. There are some pitfalls, and I explain some of them here. There’s not even close to an exhaustive list for changing your career into finance, but it should give you an idea of what to expectunder an initial basis

twas the night before Chrismas (series 7 edition)