<![CDATA[SIE in One Scenario]]>https://sie-in-one-scenario-lspxst.jellypod.comPowered by Jellypod (https://www.jellypod.com)Wed, 14 Oct 2026 19:18:40 GMTFri, 17 Jul 2026 22:13:17 GMTyes23384fe4-93a9-4276-9b0e-becd252ffa53SIE in One ScenarioLearn 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, finaLearn 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.episodicSIE in One Scenariofeed+ea5c4e0a@podcasts.jellypod.comfalse<![CDATA[UGMA and UTMA: When a Custodial Gift Can’t Be Taken Back]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/67c77804-7af2-4fb7-9f44-c736916f618f67c77804-7af2-4fb7-9f44-c736916f618fTue, 11 Aug 2026 14:48:14 GMT1717Learn how UGMA and UTMA custodial accounts work, why gifts to a minor are irrevocable, and why a parent cannot reclaim assets for personal use. The episode also breaks down common FINRA exam traps and explains when a custodial withdrawal is allowed because it directly benefits the minor.

]]>SIE in One ScenarioLearn how UGMA and UTMA custodial accounts work, why gifts to a minor are irrevocable, and why a parent cannot reclaim assets for personal use. The episode also breaks down common FINRA exam traps and explains when a custodial withdrawal is allowed becausLearn how UGMA and UTMA custodial accounts work, why gifts to a minor are irrevocable, and why a parent cannot reclaim assets for personal use. The episode also breaks down common FINRA exam traps and explains when a custodial withdrawal is allowed because it directly benefits the minor.false00:06:54full<![CDATA[Hockey Tickets, FINRA Rules, and the Gift Trap]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/193dbfed-75a0-4db9-b94f-d50fda13a4e4193dbfed-75a0-4db9-b94f-d50fda13a4e4Mon, 10 Aug 2026 14:47:54 GMT1616This episode breaks down a FINRA compliance trap involving $400 hockey tickets and shows why handing them to a client without attending turns business entertainment into a gift under Rule 3220. It also walks through common exam distractors, the attendance standard, and a quick fact flip that shows how one small change can make the same expense permissible.

Show Notes

]]>SIE in One ScenarioThis episode breaks down a FINRA compliance trap involving $400 hockey tickets and shows why handing them to a client without attending turns business entertainment into a gift under Rule 3220. It also walks through common exam distractors, the attendanceThis episode breaks down a FINRA compliance trap involving $400 hockey tickets and shows why handing them to a client without attending turns business entertainment into a gift under Rule 3220. It also walks through common exam distractors, the attendance standard, and a quick fact flip that shows how one small change can make the same expense permissible. Show Notes Gifts/Business Entertainment/Non-Cash Compensation FAQs: https://www.finra.org/rules-guidance/key-topics/gifts-gratuities-and-non-cash-compensation/faqs Gift Limit Increased to $300 | FINRA.org: https://www.finra.org/compliance-tools/weekly-archive/02182026false00:04:24full<![CDATA[Stop Limit Orders: When a Gap Down Leaves You Unfilled]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/7eabfd2e-f6ac-4783-94c8-aaa3dcab2ff77eabfd2e-f6ac-4783-94c8-aaa3dcab2ff7Fri, 07 Aug 2026 14:48:47 GMT1515This episode breaks down how a sell stop limit order behaves when a stock gaps down past the stop and limit prices, using a clear trading scenario to show why the order may trigger but still fail to execute. It also contrasts stop limit orders with standard stop orders and explains the key difference between activation and execution.

]]>SIE in One ScenarioThis episode breaks down how a sell stop limit order behaves when a stock gaps down past the stop and limit prices, using a clear trading scenario to show why the order may trigger but still fail to execute. It also contrasts stop limit orders with standaThis episode breaks down how a sell stop limit order behaves when a stock gaps down past the stop and limit prices, using a clear trading scenario to show why the order may trigger but still fail to execute. It also contrasts stop limit orders with standard stop orders and explains the key difference between activation and execution.false00:06:30full<![CDATA[FINRA Complaint Trap: Verbal Rant or Written Grievance?]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/9d164e19-2a19-4bff-a7d9-5d03d9b275f39d164e19-2a19-4bff-a7d9-5d03d9b275f3Thu, 06 Aug 2026 14:48:50 GMT1414Learn how FINRA Rule 4513 treats customer grievances by separating verbal blowups from written complaints. This episode also breaks down common SIE exam traps involving OSJ recordkeeping, Form U4 disclosures, and improper personal reimbursements.

Show Notes

]]>SIE in One ScenarioLearn how FINRA Rule 4513 treats customer grievances by separating verbal blowups from written complaints. This episode also breaks down common SIE exam traps involving OSJ recordkeeping, Form U4 disclosures, and improper personal reimbursements. Show NotLearn how FINRA Rule 4513 treats customer grievances by separating verbal blowups from written complaints. This episode also breaks down common SIE exam traps involving OSJ recordkeeping, Form U4 disclosures, and improper personal reimbursements. Show Notes 4513. Records of Written Customer Complaints: https://www.finra.org/rules-guidance/rulebooks/finra-rules/4513false00:06:22full<![CDATA[FINRA Rule 2210: The 25-Recipient Trap]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/f5c1fd79-b5e2-47f3-8ec1-89f9db1e3135f5c1fd79-b5e2-47f3-8ec1-89f9db1e3135Wed, 05 Aug 2026 14:48:09 GMT1313Break down FINRA Rule 2210 with a practical exam scenario: learn how to classify an email as retail communication versus correspondence based on the 25-recipient threshold. The episode also exposes common exam traps involving existing clients, prospects, and institutional communication rules.

Show Notes

]]>SIE in One ScenarioBreak down FINRA Rule 2210 with a practical exam scenario: learn how to classify an email as retail communication versus correspondence based on the 25-recipient threshold. The episode also exposes common exam traps involving existing clients, prospects, Break down FINRA Rule 2210 with a practical exam scenario: learn how to classify an email as retail communication versus correspondence based on the 25-recipient threshold. The episode also exposes common exam traps involving existing clients, prospects, and institutional communication rules. Show Notes 2210. Communications with the Public: https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210false00:06:48full<![CDATA[FINRA Rule 3280: Selling Away and Private Placements]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/515a4582-aabd-4108-96ae-4174c11e8b3f515a4582-aabd-4108-96ae-4174c11e8b3fTue, 04 Aug 2026 14:48:12 GMT1212Learn how FINRA Rule 3280 applies to private securities transactions, including when prior written notice is enough and when selling compensation triggers required firm approval, supervision, and books-and-records treatment. The episode also contrasts compensated deals with uncompensated referrals so you can spot the exam traps fast.

Show Notes

]]>SIE in One ScenarioLearn how FINRA Rule 3280 applies to private securities transactions, including when prior written notice is enough and when selling compensation triggers required firm approval, supervision, and books-and-records treatment. The episode also contrasts comLearn how FINRA Rule 3280 applies to private securities transactions, including when prior written notice is enough and when selling compensation triggers required firm approval, supervision, and books-and-records treatment. The episode also contrasts compensated deals with uncompensated referrals so you can spot the exam traps fast. Show Notes 3280. Private Securities Transactions of an Associated ...: https://www.finra.org/rules-guidance/rulebooks/finra-rules/3280false00:06:02full<![CDATA[CTR Rules for Same-Day Cash Deposits]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/50fbc24a-5452-472f-b9d5-5c2b7c47b88b50fbc24a-5452-472f-b9d5-5c2b7c47b88bMon, 03 Aug 2026 14:48:29 GMT1111Learn how broker-dealers handle cash deposits under Bank Secrecy Act rules, including when same-day transactions must be aggregated and trigger a Currency Transaction Report. The episode also clears up common exam traps around SARs, structuring, and why wire transfers and checks are treated differently from physical currency.

Show Notes

]]>SIE in One ScenarioLearn how broker-dealers handle cash deposits under Bank Secrecy Act rules, including when same-day transactions must be aggregated and trigger a Currency Transaction Report. The episode also clears up common exam traps around SARs, structuring, and why wLearn how broker-dealers handle cash deposits under Bank Secrecy Act rules, including when same-day transactions must be aggregated and trigger a Currency Transaction Report. The episode also clears up common exam traps around SARs, structuring, and why wire transfers and checks are treated differently from physical currency. Show Notes Treasury Offers Revised Currency Transaction Report Form: https://www.finra.org/rules-guidance/notices/95-105 Frequently Asked Questions Regarding the FinCEN Currency ...: https://www.fincen.gov/resources/frequently-asked-questions-regarding-fincen-currency-transaction-report-ctrfalse00:07:30full<![CDATA[Dividend Record Date Trap: T+1 and Ex-Dividend Timing]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/bdf49b44-1366-4a82-af6f-77ebf563779ebdf49b44-1366-4a82-af6f-77ebf563779eFri, 31 Jul 2026 14:47:56 GMT1010Learn how dividend record dates and ex-dividend dates really work under modern T+1 settlement, including why the latest regular way purchase date comes before the ex date. The episode also covers common exam traps, FINRA Rule 11140, and how cash settlement changes the timing.

Show Notes

]]>SIE in One ScenarioLearn how dividend record dates and ex-dividend dates really work under modern T+1 settlement, including why the latest regular way purchase date comes before the ex date. The episode also covers common exam traps, FINRA Rule 11140, and how cash settlemenLearn how dividend record dates and ex-dividend dates really work under modern T+1 settlement, including why the latest regular way purchase date comes before the ex date. The episode also covers common exam traps, FINRA Rule 11140, and how cash settlement changes the timing. Show Notes 11140. Transactions in Securities "Ex-Dividend," "Ex-Rights" or " ...: https://www.finra.org/rules-guidance/rulebooks/finra-rules/11140false00:04:29full<![CDATA[Margin Accounts: Which Agreements Are Required?]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/27ec967c-cb28-4f59-af1e-ddbb179c7b5327ec967c-cb28-4f59-af1e-ddbb179c7b53Thu, 30 Jul 2026 14:50:03 GMT99This episode unpacks the key documents behind a margin account and explains why the Credit Agreement and Hypothecation Agreement are required while the Loan Consent Agreement remains optional. It uses a real-world investing scenario to show how leverage, collateral, and securities lending work in practice.

]]>SIE in One ScenarioThis episode unpacks the key documents behind a margin account and explains why the Credit Agreement and Hypothecation Agreement are required while the Loan Consent Agreement remains optional. It uses a real-world investing scenario to show how leverage, This episode unpacks the key documents behind a margin account and explains why the Credit Agreement and Hypothecation Agreement are required while the Loan Consent Agreement remains optional. It uses a real-world investing scenario to show how leverage, collateral, and securities lending work in practice.false00:06:48full<![CDATA[Mutual Fund LOIs: Cash, Clocks, and Breakpoint Traps]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/a3874ccc-f98a-4f68-adaf-e4c7505fc98ba3874ccc-f98a-4f68-adaf-e4c7505fc98bWed, 29 Jul 2026 14:50:33 GMT88This episode breaks down mutual fund Letters of Intent through a realistic exam-style scenario, showing what counts as new cash toward the commitment and what does not.

It also explains how the 13-month clock works when an LOI is backdated, including the deadline rules, common traps, and why market gains and reinvested dividends do not reduce the amount you still need to invest.

]]>SIE in One ScenarioThis episode breaks down mutual fund Letters of Intent through a realistic exam-style scenario, showing what counts as new cash toward the commitment and what does not. It also explains how the 13-month clock works when an LOI is backdated, including the This episode breaks down mutual fund Letters of Intent through a realistic exam-style scenario, showing what counts as new cash toward the commitment and what does not. It also explains how the 13-month clock works when an LOI is backdated, including the deadline rules, common traps, and why market gains and reinvested dividends do not reduce the amount you still need to invest.false00:06:42full<![CDATA[SIPC Coverage: Separate Capacities and the Cash Cap]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/4024d4ef-be7a-4012-9139-e5d9ea7bfd064024d4ef-be7a-4012-9139-e5d9ea7bfd06Tue, 28 Jul 2026 14:48:17 GMT77Learn how SIPC coverage works when multiple brokerage accounts are held in different legal capacities, including how individual and joint accounts are grouped and why the $250,000 cash sub-limit matters. The episode walks through a real exam-style scenario and shows the common traps that can lead to the wrong answer.

]]>SIE in One ScenarioLearn how SIPC coverage works when multiple brokerage accounts are held in different legal capacities, including how individual and joint accounts are grouped and why the $250,000 cash sub-limit matters. The episode walks through a real exam-style scenariLearn how SIPC coverage works when multiple brokerage accounts are held in different legal capacities, including how individual and joint accounts are grouped and why the $250,000 cash sub-limit matters. The episode walks through a real exam-style scenario and shows the common traps that can lead to the wrong answer.false00:06:08full<![CDATA[The Tuesday Trade: When Verbal Authority Expires]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/bad63929-8e42-4846-af37-6b8b7f6bd69dbad63929-8e42-4846-af37-6b8b7f6bd69dMon, 27 Jul 2026 14:48:06 GMT66Learn how the Three A's—asset, action, and amount—determine whether an order is discretionary, and why verbal time-and-price discretion for retail clients expires at the end of the business day. The episode also covers the key institutional-account exception and the FINRA rule that turns a seemingly good trade into an unauthorized one.

Show Notes

]]>SIE in One ScenarioLearn how the Three A's—asset, action, and amount—determine whether an order is discretionary, and why verbal time-and-price discretion for retail clients expires at the end of the business day. The episode also covers the key institutional-account exceptLearn how the Three A's—asset, action, and amount—determine whether an order is discretionary, and why verbal time-and-price discretion for retail clients expires at the end of the business day. The episode also covers the key institutional-account exception and the FINRA rule that turns a seemingly good trade into an unauthorized one. Show Notes 3260. Discretionary Accounts: https://www.finra.org/rules-guidance/rulebooks/finra-rules/3260false00:05:16full<![CDATA[Rule 144 Explained: When Non-Affiliates Can Sell]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/a362cc73-c993-4d79-beb8-75f486a2e41aa362cc73-c993-4d79-beb8-75f486a2e41aFri, 24 Jul 2026 14:47:51 GMT55This 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.

]]>SIE in One ScenarioThis 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 outcThis 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.false00:04:37full<![CDATA[Why Tenants in Common Solves the 70/30 Split]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/12f41fb8-be4d-42b8-813d-b9572819fa4412f41fb8-be4d-42b8-813d-b9572819fa44Thu, 23 Jul 2026 14:49:09 GMT44This 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

]]>SIE in One ScenarioThis 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 distingThis 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-accountsfalse00:05:38full<![CDATA[No Vote, No Buck: Inside MSRB Rule G-37]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/6821616b-12e2-49d1-806d-796a9179b19d6821616b-12e2-49d1-806d-796a9179b19dWed, 22 Jul 2026 14:48:18 GMT33Learn 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.

]]>SIE in One ScenarioLearn 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 votinLearn 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.false00:06:24full<![CDATA[FINRA Statutory Disqualification: Felony DUI and Form U4]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/b92b8f92-0052-4126-ae7f-83fbc49ea5d8b92b8f92-0052-4126-ae7f-83fbc49ea5d8Tue, 21 Jul 2026 14:49:49 GMT22This 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

]]>SIE in One ScenarioThis 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 andThis 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/1465false00:05:24full<![CDATA[Freeriding and the 90-Day Cash Freeze]]>https://sie-in-one-scenario-lspxst.jellypod.com/episodes/648523d3-2d92-4b06-88c3-a20ff285c89f648523d3-2d92-4b06-88c3-a20ff285c89fMon, 20 Jul 2026 20:50:27 GMT11Maya 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.

]]>SIE in One ScenarioMaya 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 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.false00:06:17full