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Wiley series 66 exam review 2015 + test bank : the uniform combined state 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 adviser. 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. :
Wiley,
©2015.
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| Temas: | |
| Acceso en línea: | Texto completo |
MARC
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| 020 | |a 9781118857090 |q (electronic bk.) | ||
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| 110 | 2 | |a Securities Institute of America. | |
| 245 | 1 | 0 | |a Wiley series 66 exam review 2015 + test bank : |b the uniform combined state law examination / |c Securities Institute of America. |
| 260 | |a Hoboken, N.J. : |b Wiley, |c ©2015. | ||
| 300 | |a 1 online resource | ||
| 336 | |a text |b txt |2 rdacontent | ||
| 337 | |a computer |b c |2 rdamedia | ||
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| 500 | |a Includes index. | ||
| 588 | 0 | |a Online resource; title from PDF title page (EBSCO, viewed November 24, 2014). | |
| 505 | 0 | |a WILEY SERIES 66 EXAM REVIEW 2015; 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 | |
| 505 | 8 | |a Futures and Forwards Secondary 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 | |
| 505 | 8 | |a Investment Advisers Act of 1940 Investment 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 | |
| 505 | 8 | |a The Telephone Consumer Protection Act of 1991 EXEMPTION 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 ECONOMIC FUNDAMENTALS; Gross Domestic Product; EXPANSION; PEAK; CONTRACTION; TROUGH; Recession; Depression; Economic Indicators; LEADING INDICATORS; COINCIDENT INDICATORS; LAGGING INDICATORS; Economic Policy; Tools of the Federal Reserve Board; Reserve Requirement; Changing the Discount Rate; Federal Open Market Committee; Money Supply | |
| 505 | 8 | |a M1M2; M3; Disintermediation; Moral Suasion; Fiscal Policy; CONSUMER PRICE INDEX (CPI); INFLATION/DEFLATION; REAL GDP; International Monetary Considerations; CHAPTER 3 Pretest; ECONOMIC FUNDAMENTALS; CHAPTER 4 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 FACTS; GUARANTEES | |
| 520 | |a 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 adviser. It covers such topics as client investment strategies and ethical business practices. Taken as a corequisite with the Series 7 Exam, candidates must complete the Series 66 Exam in order to register as an agent with a state securities administrator. Created by the experts at The Securities Institute of America, Inc., Wiley Series 66 Exam Review 2015 arms you with what you need to score high on this tough. | ||
| 590 | |a ProQuest Ebook Central |b Ebook Central Academic Complete | ||
| 650 | 0 | |a Securities |z United States |v Problems, exercises, etc. | |
| 650 | 7 | |a LAW |x Administrative Law & Regulatory Practice. |2 bisacsh | |
| 650 | 7 | |a Securities |2 fast | |
| 651 | 7 | |a United States |2 fast |1 https://id.oclc.org/worldcat/entity/E39PBJtxgQXMWqmjMjjwXRHgrq | |
| 655 | 7 | |a exercise books. |2 aat | |
| 655 | 7 | |a Problems and exercises |2 fast | |
| 655 | 7 | |a Problems and exercises. |2 lcgft | |
| 655 | 7 | |a Problèmes et exercices. |2 rvmgf | |
| 776 | 0 | 8 | |i Print version: |a Van Blarcom, Jeff. |t Wiley Series 66 Exam Review 2015 + Test Bank : The Uniform Combined State Law Examination. |d Hoboken : Wiley, ©2014 |z 9781118857144 |
| 856 | 4 | 0 | |u https://ebookcentral.uam.elogim.com/lib/uam-ebooks/detail.action?docID=1819693 |z Texto completo |
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