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PODCAST

Open Exam Prep

Ran Chen, EA, CFP®

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

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All Episodes

03:20

Series 7 Exam Prep 73, Securities Exchange Act of 1934

Open Exam Prep ·

2026/08/19

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

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03:23

Series 7 Exam Prep 72, Securities Act of 1933

Open Exam Prep ·

2026/08/18

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

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03:06

Series 7 Exam Prep 71, FINRA, SEC, MSRB, and...

Open Exam Prep ·

2026/08/17

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

en

03:26

Series 7 Exam Prep 70, Insider Trading and Market...

Open Exam Prep ·

2026/08/16

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

en

04:07

Series 7 Exam Prep 69, Prohibited Activities and...

Open Exam Prep ·

2026/08/15

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

en

01:24

Series 7 Exam Prep 68, Senior Investors and Financial...

Open Exam Prep ·

2026/08/14

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 role and requirements of a Trusted Contact Person under FINRA Rule 4512. - The specific conditions and timelines for placing temporary holds on disbursements and

en

03:56

Series 7 Exam Prep 67, Anti-Money Laundering and...

Open Exam Prep ·

2026/08/13

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 four essential pillars of a broker-dealer's Anti-Money Laundering (AML) program. - The four key pieces of information required under the Customer Identification

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03:38

Series 7 Exam Prep 66, Research Reports and Quiet...

Open Exam Prep ·

2026/08/12

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 quiet period for IPOs is 10 days for all participants, while for follow-on offerings, it is 3 days and applies only to managers. - Research analyst compensation

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04:31

Series 7 Exam Prep 65, Communications with the Public

Open Exam Prep ·

2026/08/11

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 key differences between correspondence, retail, and institutional communications based on the number of retail investors. - The specific principal pre-approval

en

03:15

Series 7 Exam Prep 64, Customer Protection and SIPC

Open Exam Prep ·

2026/08/10

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: - How SEC Rule 15c3-3 requires broker-dealers to segregate fully paid and excess margin securities. - The specific calculation for determining excess margin securities

en

03:17

Series 7 Exam Prep 63, Market Makers, Specialists,...

Open Exam Prep ·

2026/08/09

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 primary function of market makers as liquidity providers and the obligation of a 'firm quote'. - How a Designated Market Maker (DMM) on the NYSE operates in a

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03:24

Series 7 Exam Prep 62, Primary and Secondary Markets

Open Exam Prep ·

2026/08/08

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 primary market is where new securities are created and sold, with proceeds going directly to the issuing company. - The secondary market is where investors trade

en

03:47

Series 7 Exam Prep 61, ACATS and Account Transfers

Open Exam Prep ·

2026/08/07

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 roles of the carrying and receiving firms in an ACATS transfer. - The critical one-day validation and three-day transfer timeline. - Common reasons for a

en

03:03

Series 7 Exam Prep 60, Customer Confirmations and...

Open Exam Prep ·

2026/08/06

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: - Trade confirmations must be sent at or before the settlement date (T+1 for most securities). - Firms must disclose their capacity on the confirmation: agent

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02:55

Series 7 Exam Prep 59, Settlement, Ex-Dividend, and...

Open Exam Prep ·

2026/08/05

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: - Regular-way settlement for most securities is now T+1 (trade date plus one business day). - The ex-dividend date is now the same as the record date, and you must

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03:38

Series 7 Exam Prep 58, Short Sales and Regulation SHO

Open Exam Prep ·

2026/08/04

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 mechanics of a short sale, including the concept of borrowing and returning shares. - The critical requirements of Regulation SHO, including the 'locate,'

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03:58

Series 7 Exam Prep 57, Order Handling and Best Execution

Open Exam Prep ·

2026/08/03

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: - That best execution is the best overall outcome for a customer, not just the best price, considering factors like speed and likelihood of execution. - The critical

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03:09

Series 7 Exam Prep 56, Order Types

Open Exam Prep ·

2026/08/02

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: - Market orders guarantee execution, while limit orders guarantee a specific price or better. - Stop orders are triggered by a trade at or through the stop price, at

en

04:26

Series 7 Exam Prep 55, Portfolio Margin and Special...

Open Exam Prep ·

2026/08/01

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 concept of portfolio margin and how it differs from standard margin accounts. - The specific rules and risks associated with day trading, including the

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04:28

Series 7 Exam Prep 54, Short Margin Calculations

Open Exam Prep ·

2026/07/31

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 fundamental short margin account formula: Credit Balance - Short Market Value = Equity. - How to calculate the initial credit balance by combining short sale

en

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