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Wiley series 66 exam review 2013 + test bank : the uniform investment adviser law examination /
The go-to guide to acing the Series 66 Exam! Passing the Uniform Combined State Law Examination (Series 66) qualifies an individual to represent both a broker-dealer and an investment advisor. It covers such topics as client investment strategies and ethical business practices. Taken as a corequisit...
| Clasificación: | Libro Electrónico |
|---|---|
| Autor Corporativo: | |
| Formato: | Electrónico eBook |
| Idioma: | Inglés |
| Publicado: |
Hoboken, N.J. :
John Wiley & Sons,
2013.
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| Temas: | |
| Acceso en línea: | Texto completo |
Tabla de Contenidos:
- WILEY SERIES 66 EXAM REVIEW 2013; Contents; About the Series 66 Exam; About This Book; About the Test Bank; About The Securities Institute of America; CHAPTER 1 Definition of Terms; SECURITY; PERSON; BROKER DEALER; AGENT; ISSUER; NONISSUER; INVESTMENT ADVISER; PENSION CONSULTANTS; FORM ADV; INVESTMENT ADVISER REPRESENTATIVE; SOLICITOR; INSTITUTIONAL INVESTOR; ACCREDITED INVESTOR; QUALIFIED PURCHASER; PRIVATE INVESTMENT COMPANY; OFFER/OFFER TO SELL/OFFER TO BUY; SALE/SELL; GUARANTEE/GUARANTEED; CONTUMACY; FEDERALLY COVERED EXEMPTION; OPTION CONTRACTS; CALL OPTIONS; PUT OPTIONS.
- FUTURES AND FORWARDSSECONDARY MARKET ORDERS; MARKET ORDERS; BUY LIMIT ORDERS; SELL LIMIT ORDERS; STOP ORDERS/STOP LOSS ORDERS; BUY STOP ORDERS; SELL STOP ORDERS; CHAPTER 1 Pretest; DEFINITION OF TERMS; CHAPTER 2 Securities Industry Rules and Regulations; THE SECURITIES ACT OF 1933; THE PROSPECTUS; THE FINAL PROSPECTUS; SEC DISCLAIMER; MISREPRESENTATIONS; THE SECURITIES EXCHANGE ACT OF 1934; THE SECURITIES AND EXCHANGE COMMISSION (SEC); EXTENSION OF CREDIT; PUBLIC UTILITIES HOLDING COMPANY ACT OF 1935; FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA); THE TRUST INDENTURE ACT OF 1939.
- Investment advisers act of 1940investment company act of 1940; retail communications/communications with the public; finra rule 2210 communications with the public; retail communication; institutional communications; correspondence; blind recruiting ads; generic advertising; tombstone ads; testimonials; free services; misleading communications; securities investor protection corporation act of 1970 (sipc); net capital requirement; customer coverage; fidelity bond; the securities acts amendments of 1975; the insider trading and securities fraud enforcement act of 1988; firewall.
- THE TELEPHONE CONSUMER PROTECTION ACT OF 1991EXEMPTION FROM THE TELEPHONE CONSUMER PROTECTION ACT OF 1991; NATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996; THE UNIFORM SECURITIES ACT; CHAPTER 2 Pretest; SECURITIES INDUSTRY RULES AND REGULATIONS; CHAPTER 3 Customer Recommendations, Professional Conduct, and Taxation; PROFESSIONAL CONDUCT BY INVESTMENT ADVISERS; THE UNIFORM PRUDENT INVESTORS ACT OF 1994; FAIR DEALINGS WITH CLIENTS; CHURNING; MANIPULATIVE AND DECEPTIVE DEVICES; CUSTOMER COMPLAINTS; UNAUTHORIZED TRADING; FRAUD; BLANKET RECOMMENDATIONS; SELLING DIVIDENDS; MISREPRESENTATIONS.
- Omitting material factsguarantees; recommending mutual funds; periodic payment plans; disclosure of client information; borrowing and lending money; developing the client profile; types of advisory clients; investment objectives; income; growth; preservation of capital; tax benefits; liquidity; speculation; risk vs. reward; capital risk; market risk; nonsystematic risk; legislative risk; timing risk; credit risk; reinvestment risk; interest rate risk; call risk; opportunity risk; liquidity risk; alpha; beta; capital asset pricing model (capm); efficient market theory; expected return.