SIE Exam Podcast Series Trading Episode 6
Автор: Series 7 Guru
Загружено: 2023-11-09
Просмотров: 16571
• Series 7 Exam Prep - Types of Orders FREE ...
3.1.1 Orders and Strategies
• Types of orders (e.g., market, stop, limit, good-til-canceled (GTC), discretionary vs. non-discretionary, solicited
vs. unsolicited)
• Buy and sell, bid-ask
• Trade capacity (e.g., principal, agency)
• Long and short, naked and covered
• Bearish and bullish
3.1.2 Investment Returns
• Components of return (e.g., interest, dividends, realized/unrealized gains, return on capital)
• Different types of dividends (e.g., cash, stock)
• Dividend payment dates (e.g., record date, ex-dividend date, payable date)
• Concepts of measurement (e.g., yield, yield to maturity (YTM), yield to call (YTC), total return, basis points)
• Cost basis requirements
• Benchmarks and indices
3.1.3 Trade Settlement
• Settlement time frames for various products (e.g., T, T + 1, T + 2)
• Physical vs. book entry (e.g., delivery and settlement)
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