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Taking the SIE soon? This last-minute review covers the rules and numbers the exam tests most, updated for 2026, including the new $300 FINRA gift limit, the $19,000 annual gift tax exclusion, and the $20,000 529 K-12 limit.

You’ll learn why SIPC won’t cover commodity futures, how to work stock-split and options breakeven math, how bond prices move with interest rates, how mutual fund breakpoints work, and the difference between a CTR and a SAR. Plus the Series 7 Whisperer’s “first five questions” review strategy for test day.

More free SIE practice at series7exam.org.

Chapters
0:00 Why SIPC doesn’t cover futures
1:15 Test-day strategy
8:16 SEC, FINRA and SROs
15:21 SIPC limits
18:10 Equities, rights and warrants
27:51 Stock splits and dividends
30:21 Bonds, risks, munis and Treasuries
40:46 Mutual funds and breakpoints
45:46 Variable annuities and 529 plans
49:21 Options and breakevens
53:57 Orders and margin
58:41 Anti-money laundering: CTR and SAR
61:28 Communications and front running
64:21 U4/U5, gifts and senior investors

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📚 About the Podcast

Real-world finance explained the way exams and real life actually test it.
Ideal for the SIE, Series 7, Series 65/66, and anyone who wants to actually understand money—not just memorize buzzwords.

⚠️ Disclosure

This podcast is for educational purposes only and is not a recommendation to buy or sell any security. Opinions expressed are solely those of the host.

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Live classes, tutoring, practice questions, and bonus content:

👉 Website / Classes: https://series7exam.org

👉 YouTube: https://youtube.com/@Series7exam

👉 Substack:https://substack.com/@series7whisperer?

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