Open Exam Prep

Open Exam Prep: Mastering Financial Exams The 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 and created Open Exam Prep as a free solution for aspiring professionals. Each episode breaks down complex major exam topics into clear, digestible lessons, covering everything from tax planning and estate strategies to retirement solutions and investment principles. Whether you’re studying during your commute, workout, or downtime, we are here to guide you—one question, one topic, one victory at a time. Visit for more content: https://open-exam-prep.com/

Open Exam Prep is a education podcast hosted by Unknown Host, with 0 episodes on record and a Required Pod Score of 85. PitchCentric scores this show on Booking Probability, Listen Score, and live audience signals refreshed every 24 hours.

Unknown Host hosts Open Exam Prep, a education show with 0 episodes published.

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  Open Exam Prep

  Series 7 Exam Prep 73, Securities Exchange Act of 1934

  Aug 18, 20263 min

  This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The core distinction between the Securities Act of 1933 (new issues) and the Securities Exchange Act of 1934 (secondary market trading). - Key responsibilities of the SEC, which was created by the 1934 Act, including the registration of broker-dealers and exchanges. - The function of Rule 10b-5 as the primary anti-fraud provision, prohibiting manipulation, deception, and insider trading. - How insider trading is defined, including the liability of both tippers and tippees who act on material, non-public information. - The purpose of Regulation T in setting initial margin requirements and the reporting obligations of public companies through Forms 10-K, 10-Q, and 8-K. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep

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  Open Exam Prep

  Series 7 Exam Prep 72, Securities Act of 1933

  Aug 17, 20263 min

  This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The Securities Act of 1933 governs the primary market, requiring registration and full disclosure for all non-exempt new issues. - The key phases of registration are the pre-filing, the cooling-off period (where marketing is allowed with a preliminary prospectus), and the post-effective period (where sales can occur). - A final prospectus, containing the offering price, must be delivered to all purchasers no later than the confirmation of the sale. - Key exemptions from registration include government securities, private placements under Regulation D, and intrastate offerings under Rule 147. - Issuers and underwriters face strict civil liability for any material misstatements or omissions in the registration statement. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep

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  Open Exam Prep

  Series 7 Exam Prep 71, FINRA, SEC, MSRB, and Regulatory Bodies

  Aug 16, 20263 min

  This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The SEC is the ultimate federal authority overseeing all securities market participants. - FINRA is the primary self-regulatory organization (SRO) that writes and enforces rules for broker-dealers. - A common exam trap is that the MSRB writes rules for municipal securities but has no enforcement power; FINRA and banking regulators enforce its rules. - The Cboe is the specific SRO that creates and enforces rules for the options market. - The Federal Reserve Board sets initial margin requirements for securities purchases under Regulation T. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep

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  Open Exam Prep

  Series 7 Exam Prep 70, Insider Trading and Market Manipulation

  Aug 15, 20263 min

  This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - Material nonpublic information is information a reasonable investor would find important that has not been publicly disseminated. - Both the 'tipper' who shares inside information and the 'tippee' who trades on it can be held liable for insider trading. - Broker-dealers must establish Chinese Walls and restricted lists to prevent the misuse of inside information. - Market manipulation tactics include painting the tape, marking the close, and pump and dump schemes. - Penalties for insider trading are severe, including treble damages, millions in fines, and up to 20 years in prison. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep

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  Open Exam Prep

  Series 7 Exam Prep 69, Prohibited Activities and Sales Practice Violations

  Aug 14, 20264 min

  This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - Churning involves excessive trading to generate commissions, requiring proof of broker control and excessive activity. - Unauthorized trading is executing trades in non-discretionary accounts without client approval. - Front-running is trading for personal gain based on knowledge of a large pending customer order, while insider trading involves using material, non-public information. - Selling away and private securities transactions require prior written notice to the firm, and written approval if compensation is involved. - Borrowing from or lending to customers, and sharing in accounts, are prohibited with specific, limited exceptions requiring firm approval, while guaranteeing against losses is always forbidden.

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