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Title Wiley series 66 exam review 2013 + test bank : the uniform investment adviser law examination / by the Securities Institute of America. Inc
Published Hoboken, N.J. : John Wiley & Sons, 2013
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Description 1 online resource
Series Wiley finra series
Wiley finra series
Contents WILEY SERIES 66 EXAM REVIEW 2013; 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 FORWARDSSECONDARY 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 1940investment 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
Omitting material factsguarantees; recommending mutual funds; periodic payment plans; disclosure of client information; borrowing and lending money; developing the client profile; types of advisory clients; investment objectives; income; growth; preservation of capital; tax benefits; liquidity; speculation; risk vs. reward; capital risk; market risk; nonsystematic risk; legislative risk; timing risk; credit risk; reinvestment risk; interest rate risk; call risk; opportunity risk; liquidity risk; alpha; beta; capital asset pricing model (capm); efficient market theory; expected return
THE TELEPHONE CONSUMER PROTECTION ACT OF 1991EXEMPTION 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 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
Summary 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 advisor. It covers such topics as client investment strategies and ethical business practices. Taken as a corequisite with the Series 7 Exam, candidates must complete the Series 66 Exam in order to register as an agent with a state securities administrator. Created by the experts at The Securities Institute of America, Inc., Wiley Series 66 Exam Review 2013 arms you with what you ne
Notes Includes index
Print version record
Subject Investment advisors -- United States -- Examinations -- Study guides.
Investment advisors -- United States -- States -- Examinations -- Study guides.
Securities -- United States -- Outlines, syllabi, etc.
Securities -- United States -- Examinations -- Study guides.
Genre/Form Study guides.
Outlines and syllabi.
Form Electronic book
Author Securities Institute of America.
ISBN 111867569X (electronic bk.)
1299804845 (ebk)
9781118675694 (electronic bk.)
9781299804845 (ebk)