Open Exam Prep Podcast Por Ran Chen arte de portada

Open Exam Prep

Open Exam Prep

De: Ran Chen
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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/Copyright 2025 Ran Chen Educación
Episodios
  • [SIE] 10, Market Participants

    [SIE] 10, Market Participants
    Dec 18 2025
    This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam exam. In this episode you will learn: - The distinct roles of broker-dealers, investment advisers, and market makers. - The definition of an agency transaction, where a firm acts as a broker. - The definition of a principal transaction, where a firm acts as a dealer. - How to identify the compensation for each role: commissions for agents and markups/markdowns for principals. - A mnemonic to remember the difference: ABC (Agent, Broker, Commission). For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818
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    4 m
  • [SIE] 9, The Underwriting Process

    [SIE] 9, The Underwriting Process
    Dec 17 2025
    This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - The key differences between firm commitment and best efforts underwriting and who bears the financial risk in each. - How an underwriting syndicate is formed to share risk among multiple investment banks. - The specific role of a selling group and why its members have no financial liability for unsold shares. - The purpose and rules of the 20-day cooling-off period in the IPO process. - What activities, such as distributing a red herring and taking indications of interest, are permitted and prohibited before a new issue becomes effective. For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818
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    4 m
  • [SIE] 8, Types of Securities Offerings

    [SIE] 8, Types of Securities Offerings
    Dec 16 2025
    This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and CFP designation. He is passionate about opening up information to help everyone prepare better for financial certification exams. This episode covers content for the SIE Exam. In this episode you will learn: - The difference between a primary offering (IPO) and a secondary offering based on who receives the proceeds. - How follow-on offerings differ from secondary offerings, a common point of confusion. - What defines a private placement under Regulation D and who is eligible to participate. - The definition of restricted and control securities and why they are treated differently. - The key requirements of SEC Rule 144, including the six-month holding period for restricted securities. For more resources visit https://open-exam-prep.com/ and connect on LinkedIn at https://linkedin.com/in/chenran818
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    3 m
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