SIE in One Scenario

SIE in One Scenario

Learn securities concepts by working through the decision, not memorizing the answer. Each episode presents one original SIE-style scenario, pauses for your answer, then explains the best choice and why the distractors fail. Built for SIE candidates, finance students, instructors, and anyone preparing to enter the securities industry. Brought to you by Jellypod, the AI Podcast Studio that turns the documents you already have into podcasts your audience will actually finish. Independent educational resource. Not affiliated with or endorsed by FINRA or any credentialing organization. Passing the SIE alone does not authorize securities activity.

Episodes

  1. 2d ago

    Rule 144 Explained: When Non-Affiliates Can Sell

    This episode breaks down Rule 144 through a practical SEC exam-style scenario, showing why a former software engineer who is a non-affiliate can sell restricted shares after the holding period without volume limits or Form 144. It also contrasts that outcome with the stricter rules that apply to corporate insiders like officers and directors.

  2. 3d ago

    Why Tenants in Common Solves the 70/30 Split

    This episode breaks down a tricky joint account scenario involving unequal contributions and estate-planning goals, showing why tenants in common fits while joint tenancy, TOD, and partnership accounts do not. It also covers a quick memory aid for distinguishing TIC from JTWROS under exam pressure. Show Notes Joint accounts | SIE Account registrations - Exam catalog: https://app.achievable.me/study/finra-sie/learn/brokerage-accounts-account-registrations-joint-accounts

  3. 4d ago

    No Vote, No Buck: Inside MSRB Rule G-37

    Learn how MSRB Rule G-37’s pay-to-play restrictions work through a realistic scenario involving a municipal finance professional, local campaign donations, and a costly underwriting ban. The episode breaks down the de minimis exemption, explains why voting eligibility matters more than the size of the contribution, and leaves you with a simple memory aid: No Vote, No Buck.

  4. 5d ago

    FINRA Statutory Disqualification: Felony DUI and Form U4

    This episode breaks down how a past felony DUI affects FINRA registration, explaining statutory disqualification, U4 disclosure requirements, and why the 10-year rule matters. It also contrasts felonies and misdemeanors with easy exam-focused examples and a memorable rule of thumb. Show Notes General Information on Statutory Disqualification and ...: https://www.finra.org/rules-guidance/guidance/eligibility-requirements Statutory Disqualification/ FORM U4 question: https://talk.achievable.me/t/statutory-disqualification-form-u4-question/1465

  5. 6d ago

    Freeriding and the 90-Day Cash Freeze

    Maya thinks she’s locked in an easy profit by selling a stock before funding the purchase, but the episode breaks down why that move violates Regulation T and triggers a 90-day cash-up-front restriction. It also explains T+1 settlement, why freeriding is a serious cash-account issue, and how the freeze actually works in practice.

  • 5 Episodes

About

Learn securities concepts by working through the decision, not memorizing the answer. Each episode presents one original SIE-style scenario, pauses for your answer, then explains the best choice and why the distractors fail. Built for SIE candidates, finance students, instructors, and anyone preparing to enter the securities industry. Brought to you by Jellypod, the AI Podcast Studio that turns the documents you already have into podcasts your audience will actually finish. Independent educational resource. Not affiliated with or endorsed by FINRA or any credentialing organization. Passing the SIE alone does not authorize securities activity.

Information

  • Creator
    SIE in One Scenario
  • Years Active
    2026
  • Episodes
    5
  • Rating
    Clean
  • Copyright
    © Copyright 2026 SIE in One Scenario
  • Show Website
    SIE in One Scenario