Produktbild: Wiley Series 66 Exam Review 2015 + Test Bank

Wiley Series 66 Exam Review 2015 + Test Bank The Uniform Combined State Law Examination

Aus der Reihe Wiley FINRA

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Beschreibung

Produktdetails

Einband

Taschenbuch

Herausgeber

The Securities Institute of America Inc

Verlag

John Wiley & Sons Inc

Seitenzahl

300

Maße (L/B)

27.8/21.6 cm

Auflage

3. Auflage

Sprache

Englisch

ISBN

978-1-118-85714-4

Beschreibung

Produktdetails

Einband

Taschenbuch

Herausgeber

The Securities Institute of America Inc

Verlag

John Wiley & Sons Inc

Seitenzahl

300

Maße (L/B)

27.8/21.6 cm

Auflage

3. Auflage

Sprache

Englisch

ISBN

978-1-118-85714-4

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  • Produktbild: Wiley Series 66 Exam Review 2015 + Test Bank
  • ABOUT THE SERIES 66 EXAM XIII
     
    ABOUT THIS BOOK XVII
     
    ABOUT THE TEST BANK XIX
     
    ABOUT THE SECURITIES INSTITUTE OF AMERICA XXI
     
    CHAPTER 1
     
    DEFINITION OF TERMS 1
     
    Security 1
     
    Person 3
     
    Broker Dealer 4
     
    Agent 4
     
    Issuer 5
     
    Nonissuer 5
     
    Investment Adviser 6
     
    Pension Consultants 6
     
    Form ADV 7
     
    Investment Adviser Representative 8
     
    Solicitor 8
     
    Institutional Investor 8
     
    Accredited Investor 9
     
    Qualified Purchaser 9
     
    Private Investment Company 9
     
    Offer/Offer to Sell/Offer to Buy 9
     
    Sale/Sell 10
     
    Guarantee/Guaranteed 10
     
    Contumacy 10
     
    Federally Covered Exemption 10
     
    Option Contracts 11
     
    Call Options 11
     
    Put Options 11
     
    Futures and Forwards 12
     
    Secondary Market Orders 12
     
    Market Orders 13
     
    Buy Limit Orders 13
     
    Sell Limit Orders 13
     
    Stop Orders/Stop Loss Orders 14
     
    Buy Stop Orders 14
     
    Sell Stop Orders 14
     
    Pretest 15
     
    CHAPTER 2
     
    SECURITIES INDUSTRY RULES AND REGULATIONS 21
     
    The Securities Act of 1933 21
     
    The Securities Exchange Act of 1934 23
     
    Public Utilities Holding Company Act of 1935 25
     
    Financial Industry Regulatory Authority (FINRA) 25
     
    The Trust Indenture Act of 1939 26
     
    Investment Advisers Act of 1940 26
     
    Investment Company Act of 1940 26
     
    Retail Communications/Communications with the Public 27
     
    FINRA Rule 2210 Communications with the Public 28
     
    Blind Recruiting Ads 30
     
    Generic Advertising 30
     
    Tombstone Ads 31
     
    Testimonials 31
     
    Free Services 32
     
    Misleading Communications 32
     
    Securities Investor Protection Corporation Act of 1970 (SIPC) 32
     
    The Securities Acts Amendments of 1975 34
     
    The Insider Trading and Securities Fraud Enforcement Act of 1988 34
     
    Firewall 35
     
    The Telephone Consumer Protection Act of 1991 35
     
    National Securities Market Improvement Act of 1996 36
     
    The Uniform Securities Act 36
     
    Pretest 39
     
    CHAPTER 3
     
    ECONOMIC FUNDAMENTALS 43
     
    Gross Domestic Product 43
     
    Recession 45
     
    Depression 45
     
    Economic Indicators 45
     
    Economic Policy 47
     
    Tools of the Federal Reserve Board 47
     
    Reserve Requirement 47
     
    Changing the Discount Rate 48
     
    Federal Open Market Committee 48
     
    Money Supply 49
     
    Disintermediation 49
     
    Moral Suasion 50
     
    Fiscal Policy 50
     
    International Monetary Considerations 52
     
    Pretest 53
     
    CHAPTER 4
     
    CUSTOMER RECOMMENDATIONS, PROFESSIONAL CONDUCT, AND TAXATION 57
     
    Professional Conduct by Investment Advisers 58
     
    The Uniform Prudent Investors Act of 1994 58
     
    Fair Dealings with Clients 59
     
    Periodic Payment Plans 63
     
    Disclosure of Client Information 64
     
    Borrowing and Lending Money 64
     
    Developing the Client Profile 64
     
    Investment Objectives 66
     
    Risk vs. Reward 68
     
    Alpha 71
     
    Beta 71
     
    Fundamental Analysis 77
     
    Capitalization 80
     
    Tax Structure 81
     
    Investment Taxation 82
     
    Calculating Gains and Losses 82
     
    Cost Base of Multiple Purchases 83
     
    Deducting Capital Losses 84
     
    Wash Sales 84
     
    Taxation of Interest Income 84
     
    Inherited and Gifted Secur