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Book Cover
E-book
Author Securities Institute of America.

Title Wiley Series 63 Exam Review 2015 + Test Bank : the Uniform Securities Examination
Edition Third edition
Published Somerset : Wiley, 2014
Online access available from:
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Description 1 online resource (196 pages)
Series Wiley FINRA
Wiley FINRA
Contents WILEY SERIES 63 EXAM REVIEW 2015 -- CONTENTS -- ABOUT THE SERIES 63 EXAM -- ABOUT THIS BOOK -- ABOUT THE TEST BANK -- ABOUT THE SECURITIES INSTITUTE OF AMERICA -- CHAPTER 1 FEDERAL LAW REVIEW -- 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 -- THE MALONEY ACT OF 1938 /NASD -- THE TRUST INDENTURE ACT OF 1939 -- INVESTMENT ADVISERS ACT OF 1940 -- INVESTMENT COMPANY ACT OF 1940
Broker Dealers on the Premises of Other Financial Institutions -- Registering Agents -- CHANGES IN AN AGENT'S EMPLOYMENT -- MERGERS AND ACQUISITIONS OF FIRMS -- RENEWING REGISTRATIONS -- Canadian Firms and Agents -- Investment Adviser Registration -- The National Securities Market Improvement Act of 1996/The Coordination Act -- Investment Adviser Representative -- Investment Adviser Registration -- Capital Requirements -- Exams -- Advertising and Sales Literature -- Brochure Delivery -- Wrap Accounts -- CHAPTER 3 Pretest -- REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS
CHAPTER 4 SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS -- Exempt Securities -- Securities Registration -- Registration of IPOs Through Coordination -- Registration Through Notice Filing -- Registration of Non-Established Issuers/Registration Through Qualification -- Exempt Securities/Federally Covered Exemption -- Exempt Transactions -- PRIVATE PLACEMENTS/REGULATION D OFFERINGS -- TRANSACTIONS WITH FINANCIAL INSTITUTIONS -- TRANSACTIONS WITH FIDUCIARIES -- TRANSACTIONS WITH UNDERWRITERS -- UNSOLICITED ORDERS -- TRANSACTIONS IN MORTGAGE-BACKED SECURITIES -- PLEDGES
Form ADV -- Investment Adviser Representative -- SOLICITOR -- ACCESS PERSON -- INSTITUTIONAL INVESTOR -- ACCREDITED INVESTOR -- QUALIFIED PURCHASER -- PRIVATE INVESTMENT COMPANY -- Offer/Offer to Sell/Offer to Buy -- Sale/Sell -- Guarantee/Guaranteed -- Contumacy -- Federally Covered Exemption -- Power of attorney -- CHAPTER 2 Pretest -- DEFINITION OF TERMS -- CHAPTER 3 REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS -- Registration of Broker Dealers and Agents -- Agent Registration -- Registering Broker Dealers -- Financial Requirements
SECURITIES INVESTOR PROTECTION CORPORATION ACT OF 1970 (SIPC) -- Net Capital Requirement -- Customer Coverage -- Fidelity Bond -- 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 -- The Uniform Prudent Investors Act of 1994 -- CHAPTER 2 DEFINITIONS OF TERMS -- Security -- Person -- Broker Dealer -- AGENT -- ISSUER -- NONISSUER -- INVESTMENT ADVISER -- Pension Consultants
Summary The go-to guide to acing the Series 63 Exam! Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state. Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2015 arms you with everything you need to pass this challenging 60-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 63 Exam Review 2015 is your ticket to passing the Series 63 test on the first try-with flying colors!
Notes OFFERS TO EXISTING SECURITIES HOLDERS
Print version record
Form Electronic book
Author Securities Institute of America.
ISBN 1118857259
9781118857250