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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 |
Tabla de Contenidos:
- 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
- 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
- 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
- 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
- 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