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Title Wiley series 99 securities licensing exam review 2019 + test bank, Operations professional examination / the Securities Institute of America, Inc
Published Hoboken, New Jersey : John Wiley and Sons, Inc., [2019]
Online access available from:
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Description 1 online resource
Contents Intro; Wiley Finra Series; Title Page; Copyright; About the Series 99 Exam; Taking the Series 99 Exam; How to Prepare for the Series 99 Exam; What Type of Positions May a Series 99 Registered Operations Professional Hold?; What Score Is Required to Pass the Exam?; Are There Any Prerequisites for the Series 99?; How Do I Schedule an Exam?; What Must I Take to the Exam Center?; How Soon Will I Receive Results of the Exam?; About This Book; About the Test Bank; About The Securities Institute of America; Chapter 1: Equity and Debt Securities; What Is a Security?; Capitalization; Common Stock
Borrowing and Lending MoneyOrder Tickets; Executing an Order; Becoming a Stockholder; Clearly Erroneous Reports; Execution Errors; Unconfirmed Trades; Corporate and Municipal Securities Settlement Options; When-Issued Securities; Government Securities Settlement Options; Accrued Interest; Close Outs; Customer Confirmations; Rules for Good Delivery; Rejection of Delivery; Reclamation; Marking to the Market; Customer Account Statements; Dividend Distribution; Proxies; Operations Professionals Covered Persons; Operational Red Flags; Pretest; Brokerage Office Procedures and Back-Office Operations
Chapter 3: Record Keeping, Financial Requirements, and ClearingBlotters; General Ledger; Customer Accounts; Suspense Account; Subsidiary (Secondary) Records; Securities Position Book (Ledger) Stock Record; Order Tickets; Confirmations and Notices; Monthly Trial Balances and Net Capital Computations; Employment Applications; Records Required to Be Maintained for 3 Years; Records Required to Be Maintained for 6 Years; Records Required to Be Maintained for the Life of the Firm; Requirement to Prepare and Maintain Records Under SEC 17a-3 and 17a-4; Financial Requirements; Box Counts
Missing and Lost SecuritiesThe Customer Protection Rule; FINRA Financial Requirements; Fidelity Bonds; Carrying of Customer Accounts; The Depository Trust & Clearing Corporation (DTCC); The Fixed Income Clearing Corporation (FICC); The Option Clearing Corporation (OCC); American vs. European Exercise; Expiration and Exercise; Pretest; Record Keeping, Financial Requirements, and Clearing; Chapter 4: Issuing Corporate Securities; The Prospectus; The Final Prospectus; Prospectus to Be Provided to Aftermarket Purchasers; SEC Disclaimer; Misrepresentations; Tombstone Ads
Preferred StockTypes of Dividends; Rights; Warrants; Options; American Depositary Receipts (ADRs)/American Depositary Shares (ADSs); Debt Securities/Bonds; The Money Market; Limited Partnerships; Pretest; Equity and Debt Securities; Chapter 2: Brokerage Office Procedures and Back-Office Operations; Hiring New Employees; Resignation of a Registered Representative; Registration Exemptions; Persons Ineligible to Register; Disciplinary Actions Against a Registered Representative; Termination for Cause; Outside Employment; Private Securities Transactions; Gift Rule; Sharing in a Customer's Account
Summary The go-to guide to acing the Series 99 Exam! Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level, standard operations functions, investor protection and market integrity regulations, identifying and escalating regulatory red-flag issues to the appropriate person in a firm, and professional conduct and ethical standards. There are no prerequisites for the Series 99 Exam, but all candidates must be sponsored by a FINRA member firm.Created by the experts at The Securities Institute of America, Inc., Wiley Series 99 Exam Review 2019 arms you with everything you need to pass this challenging 100-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 99 Exam Review 2019 is your ticket to passing the Series 99 test on the first try-with flying colors!
Notes Includes index
Online resource; title from PDF title page (EBSCO, viewed December 28, 2018)
Subject Securities -- Examinations -- Study guides.
Stockbrokers -- Certification -- United States.
Genre/Form Study guides.
Study guides.
Form Electronic book
Author Securities Institute of America.
ISBN 1119553741 (electronic bk.)
9781119553748 (electronic bk.)
Other Titles Operations professional examination