Open Exam Prep
Ran Chen, EA, CFP®
Open Exam Prep: Mastering Financial ExamsThe path to becoming a certified financial professional is known for its difficulty, and finding high-quality, accessible study material shouldn't be the hardest part.Created by Ran Chen—an AI application enthusiast, Financial Advisor, and holder of the EA (Tax), Life Insurance, Series 6/63/65, and CFP® designations—this podcast was born from personal experience. Having navigated these challenging exams himself, Ran realized the need for better resources...
Episodes (808)
Series 7 Exam Prep 97, Trading and Settlement Exam Traps
Open Exam Prep
Series 7 Exam Prep 96, Communications and Disclosure Exam Traps
Open Exam Prep
Series 7 Exam Prep 95, Retirement and Rollover Recommendation Traps
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Series 7 Exam Prep 94, Suitability Drill for Packaged Products
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Series 7 Exam Prep 93, Suitability Drill for Equity and Debt Products
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Series 7 Exam Prep 92, Options Breakeven and Strategy Math Review
Open Exam Prep
Series 7 Exam Prep 91, Options Indexes and Broad-Based Products
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Series 7 Exam Prep 90, Customer Account Restrictions and Free Riding
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Series 7 Exam Prep 89, Markups, Markdowns, and Commissions
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Series 7 Exam Prep 88, Accrued Interest and Bond Settlement
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Series 7 Exam Prep 87, Municipal Trading and Pricing
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Series 7 Exam Prep 86, Investment Banking and Corporate Financing
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Series 7 Exam Prep 85, Tender Offers, Mergers, and Corporate Actions
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Series 7 Exam Prep 84, Penny Stocks and Low-Priced Securities
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Series 7 Exam Prep 83, Customer Complaints and Account Documentation
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Series 7 Exam Prep 82, Customer Recommendations by Life Stage
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Series 7 Exam Prep 81, Taxation of Investments
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Series 7 Exam Prep 80, Diversification, Correlation, and Asset Allocation
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Series 7 Exam Prep 79, Portfolio Risk and Return
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Series 7 Exam Prep 78, Interest Rates and Yield Curves
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Series 7 Exam Prep 77, Federal Reserve and Monetary Policy
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Series 7 Exam Prep 76, Economic Indicators and Business Cycles
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Series 7 Exam Prep 75, Municipal Securities Rules and MSRB
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Series 7 Exam Prep 74, Investment Company Act and Investment Advisers Act
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Series 7 Exam Prep 73, Securities Exchange Act of 1934
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Series 7 Exam Prep 72, Securities Act of 1933
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Series 7 Exam Prep 71, FINRA, SEC, MSRB, and Regulatory Bodies
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Series 7 Exam Prep 70, Insider Trading and Market Manipulation
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Series 7 Exam Prep 69, Prohibited Activities and Sales Practice Violations
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Series 7 Exam Prep 68, Senior Investors and Financial Exploitation
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Series 7 Exam Prep 67, Anti-Money Laundering and Suspicious Activity
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Series 7 Exam Prep 66, Research Reports and Quiet Periods
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Series 7 Exam Prep 65, Communications with the Public
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Series 7 Exam Prep 64, Customer Protection and SIPC
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Series 7 Exam Prep 63, Market Makers, Specialists, and Trading Venues
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Series 7 Exam Prep 62, Primary and Secondary Markets
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Series 7 Exam Prep 61, ACATS and Account Transfers
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Series 7 Exam Prep 60, Customer Confirmations and Account Statements
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Series 7 Exam Prep 59, Settlement, Ex-Dividend, and Due Bills
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Series 7 Exam Prep 58, Short Sales and Regulation SHO
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Series 7 Exam Prep 57, Order Handling and Best Execution
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Series 7 Exam Prep 56, Order Types
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Series 7 Exam Prep 55, Portfolio Margin and Special Margin Risks
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Series 7 Exam Prep 54, Short Margin Calculations
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Series 7 Exam Prep 53, Long Margin Calculations
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Series 7 Exam Prep 52, Margin Account Fundamentals
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Series 7 Exam Prep 51, Options Taxation and Exercise
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Series 7 Exam Prep 50, Options Disclosure and Account Approval
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Series 7 Exam Prep 49, Options Hedging and Income Strategies
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Series 7 Exam Prep 48, Straddles and Combinations
Open Exam Prep