Produktbild: Wiley Series 63 Exam Review 2015 + Test Bank

Wiley Series 63 Exam Review 2015 + Test Bank The Uniform Securities Examination. The Securities Institute of America, Inc.

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Beschreibung

Produktdetails

Einband

Taschenbuch

Herausgeber

The Securities Institute of America Inc

Verlag

John Wiley & Sons Inc

Seitenzahl

192

Maße (L/B)

27.8/21.6 cm

Auflage

3. Auflage

Sprache

Englisch

ISBN

978-1-118-85705-2

Beschreibung

Produktdetails

Einband

Taschenbuch

Herausgeber

The Securities Institute of America Inc

Verlag

John Wiley & Sons Inc

Seitenzahl

192

Maße (L/B)

27.8/21.6 cm

Auflage

3. Auflage

Sprache

Englisch

ISBN

978-1-118-85705-2

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  • Produktbild: Wiley Series 63 Exam Review 2015 + Test Bank
  • ABOUT THE SERIES 63 EXAM IX
     
    ABOUT THIS BOOK XIII
     
    ABOUT THE TEST BANK XV
     
    ABOUT THE SECURITIES INSTITUTE OF AMERICA XVII
     
    CHAPTER 1
     
    FEDERAL LAW REVIEW 1
     
    The Securities Act of 1933 1
     
    The Prospectus 2
     
    The Final Prospectus 2
     
    Misrepresentations 3
     
    The Securities Exchange Act of 1934 3
     
    Net Capital Requirement 7
     
    Customer Coverage 7
     
    Fidelity Bond 8
     
    The Insider Trading and Securities Fraud Enforcement Act of 1988 8
     
    Firewall 9
     
    The Telephone Consumer Protection Act of 1991 9
     
    National Securities Market Improvement Act of 1996 10
     
    The Uniform Securities Act 11
     
    The Uniform Prudent Investors Act of 1994 11
     
    CHAPTER 2
     
    DEFINITIONS OF TERMS 13
     
    Security 13
     
    Person 15
     
    Broker Dealer 16
     
    Pension Consultants 18
     
    Form ADV 18
     
    Investment Adviser Representative 19
     
    Offer/Offer to Sell/Offer to Buy 21
     
    Sale/Sell 22
     
    Guarantee/Guaranteed 22
     
    Contumacy 22
     
    Federally Covered Exemption 23
     
    Power of attorney 23
     
    Pretest 25
     
    CHAPTER 3
     
    REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS 31
     
    Registration of Broker Dealers and Agents 31
     
    Agent Registration 32
     
    Registering Broker Dealers 33
     
    Financial Requirements 34
     
    Broker Dealers on the Premises of Other Financial Institutions 34
     
    Registering Agents 34
     
    Canadian Firms and Agents 36
     
    Investment Adviser Registration 36
     
    The National Securities Market Improvement Act of 1996/The Coordination Act 37
     
    Investment Adviser Representative 38
     
    Investment Adviser Registration 38
     
    Capital Requirements 39
     
    Exams 39
     
    Advertising and Sales Literature 40
     
    Brochure Delivery 41
     
    Wrap Accounts 41
     
    Pretest 43
     
    CHAPTER 4
     
    SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS 47
     
    Exempt Securities 47
     
    Securities Registration 48
     
    Registration of IPOs Through Coordination 48
     
    Registration Through Notice Filing 49
     
    Registration of Non-Established Issuers/Registration Through Qualifi cation 49
     
    Exempt Securities/Federally Covered Exemption 51
     
    Exempt Transactions 52
     
    Pretest 57
     
    CHAPTER 5
     
    PROFESSIONAL CONDUCT AND PROHIBITED AND FRAUDULENT ACTIONS 63
     
    Fraud 63
     
    Professional Conduct 64
     
    Suitability 64
     
    Market Manipulation 66
     
    Customer Complaints 67
     
    The Role of the Investment Adviser 67
     
    Additional Compensation for an Investment Adviser 68
     
    Agency Cross Transactions 68
     
    Disclosures by an Investment Adviser 68
     
    Investment Adviser Contracts 70
     
    Private Investment Companies/Hedge Funds 70
     
    Fulcrum Fees 70
     
    Soft Dollars 71
     
    Borrowing and Lending Money 72
     
    Pretest 73
     
    CHAPTER 6
     
    THE STATE SECURITIES ADMINISTRATOR AND THE UNIFORM SECURITIES ACT 81
     
    Actions by the State Securities Administrator 81
     
    Cancellation of a Registration 82
     
    Withdrawal of a Registration 83
     
    Actions Against an Issuer of Securities 83
     
    Rule Changes 83
     
    Administrative Orders 83
     
    Interpretive Opinions 85
     
    Administrative Records 85
     
    Investigations 85
     
    Civil and Criminal Penalties 86
     
    Jurisdiction of the State Securities Administrator 8