Wiley Series 66 Exam Review 2015 + Test Bank : The Uniform Combined State Law Examination.
Inc. The Securities Institute of America
Bok Engelsk 2014 · Electronic books.
| Omfang | 1 online resource (293 pages)
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| Utgave | 3rd ed.
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| Opplysninger | Intro -- WILEY SERIES 66 EXAM REVIEW 2015 -- 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 Forwards -- Secondary 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 1940 -- Investment 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.. - Alpha -- Beta -- CAPITAL ASSET PRICING MODEL (CAPM) -- EFFICIENT MARKET THEORY -- EXPECTED RETURN -- TIME VALUE OF MONEY -- NET PRESENT VALUE -- INTERNAL RATE OF RETURN -- MODERN PORTFOLIO THEORY -- Fundamental Analysis -- THE BALANCE SHEET -- Capitalization -- Tax Structure -- Investment Taxation -- Calculating Gains and Losses -- Cost Base of Multiple Purchases -- FIFO -- SHARE IDENTIFICATION -- AVERAGE COST -- Deducting Capital Losses -- Wash Sales -- Taxation of Interest Income -- Inherited and Gifted Securities -- Donating Securities to Charity -- Trusts -- Gift Taxes -- Estate Taxes -- Withholding Tax -- Corporate Dividend Exclusion -- Alternative Minimum Tax (AMT) -- Taxes on Foreign Securities -- CHAPTER 4 Pretest -- CUSTOMER RECOMMENDATIONS AND PROFESSIONAL CONDUCT AND TAXATION -- CHAPTER 5 VARIABLE ANNUITIES, RETIREMENT PLANS, AND LIFE INSURANCE -- Annuities -- FIXED ANNUITY -- VARIABLE ANNUITY -- COMBINATION ANNUITY -- BONUS ANNUITY -- Equity-Indexed Annuities -- Annuity Purchase Options -- SINGLE-PAYMENT DEFERRED ANNUITY -- SINGLE-PAYMENT IMMEDIATE ANNUITY -- PERIODIC-PAYMENT DEFERRED ANNUITY -- Accumulation Units -- Annuity Units -- Annuity Payout Options -- LIFE ONLY/STRAIGHT LIFE -- LIFE WITH PERIOD CERTAIN -- JOINT WITH LAST SURVIVOR -- Factors Affecting the Size of the Annuity Payment -- The Assumed Interest Rate (AIR) -- Taxation -- Sales Charges -- Variable Annuity vs. Mutual Fund -- Retirement Plans -- Individual Plans -- Individual Retirement Accounts (IRAS) -- TRADITIONAL IRA -- ROTH IRA -- SIMPLIFIED EMPLOYEE PENSION IRA (SEP IRA) -- 529 Plans -- Local Government Investment Pools (LGIPs) -- IRA Contributions -- IRA Accounts -- IRA Investments -- It Is Unwise to Put a Municipal Bond in an IRA -- Rollover vs. Transfer -- ROLLOVER -- TRANSFER -- DEATH OF AN IRA OWNER -- Keogh Plans (HR-10) -- Contributions.. - EULA.. - Investment Adviser Contracts -- Additional Roles of Investment Advisers -- Private Investment Companies/Hedge Funds -- Fulcrum Fees -- Wrap Accounts -- Soft Dollars -- CHAPTER 6 Pretest -- REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS -- CHAPTER 7 SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS -- Exempt Securities -- Securities Registration -- REGISTRATION OF IPOs THROUGH COORDINATION -- REGISTRATION THROUGH NOTICE FILING -- REGISTRATION OF NONESTABLISHED ISSUERS/REGISTRATION THROUGH QUALIFICATION -- Exempt Securities/Federally Covered Exemption -- Exempt Transactions -- PRIVATE PLACEMENTS/REGULATION D OFFERINGS -- PRIVATE INVESTMENT IN A PUBLIC EQUITY (PIPE) -- RULE 147 INTRASTATE OFFERING -- REGULATION A OFFERINGS -- TRANSACTIONS WITH FINANCIAL INSTITUTIONS -- TRANSACTIONS WITH FIDUCIARIES -- TRANSACTIONS WITH UNDERWRITERS -- UNSOLICITED ORDERS -- TRANSACTIONS IN MORTGAGE-BACKED SECURITIES -- PLEDGES -- OFFERS TO EXISTING SECURITIES HOLDERS -- PREORGANIZATION CERTIFICATES -- ISOLATED NONISSUER TRANSACTIONS -- NONISSUER TRANSACTIONS -- CHAPTER 7 Pretest -- SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS -- CHAPTER 8 STATE SECURITIES ADMINISTRATORS AND THE UNIFORM SECURITIES ACT -- Actions by the State Securities Administrator -- CANCELLATION OF A REGISTRATION -- WITHDRAWAL OF A REGISTRATION -- Actions Against an Issuer of Securities -- Rule Changes -- ADMINISTRATIVE ORDERS -- INTERPRETIVE OPINIONS -- ADMINISTRATIVE RECORDS -- Investigations -- Civil and Criminal Penalties -- Jurisdiction of the State Securities Administrator -- Administrator's Jurisdiction over Securities Transactions -- Right of Rescission -- Statute of Limitations -- CHAPTER 8 Pretest -- STATE SECURITIES ADMINISTRATORS AND THE UNIFORM SECURITIES ACT -- ANSWER KEYS -- GLOSSARY OF EXAM TERMS -- INDEX -- Advert -- Access Code.. - Tax-Sheltered Annuities/Tax-Deferred Account -- PUBLIC EDUCATIONAL INSTITUTIONS (403B) -- NONPROFIT ORGANIZATIONS/TAX-EXEMPT ORGANIZATIONS (501C3) -- Contributions -- Tax Treatment of Distributions -- Corporate Plans -- Non-Qualified Corporate Retirement Plans -- Payroll Deductions -- Deferred Compensation Plans -- Qualified Plans -- Types of Plans -- DEFINED BENEFIT PLAN -- DEFINED CONTRIBUTION PLAN -- EMPLOYEE STOCK OWNERSHIP PLANS/ESOP -- PROFIT SHARING PLANS -- 401(K) THRIFT PLANS -- Rolling Over a Pension Plan -- Employee Retirement Income Security Act of 1974 (ERISA) -- PLAN PARTICIPATION -- FUNDING -- VESTING -- COMMUNICATION -- BENEFICIARIES -- ERISA 404C Safe Harbor -- Life Insurance -- WHOLE LIFE -- VARIABLE LIFE -- UNIVERSAL LIFE -- VARIABLE UNIVERSAL LIFE/UNIVERSAL VARIABLE LIFE -- Premiums and Death Benefits -- MORTALITY RISK FEE -- INVESTMENT MANAGEMENT FEE -- EXPENSE RISK FEE -- Assumed Interest Rate -- Variable Policy Features -- 45-DAY FREE LOOK -- LOANS -- CONTRACT EXCHANGE -- VOTING -- Sales Charges -- Life Settlements -- CHAPTER 5 Pretest -- VARIABLE ANNUITIES AND RETIREMENT PLANS -- CHAPTER 6 REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS -- Registration of Broker Dealers -- Financial Requirements -- Agent Registration -- Registering Agents -- Changes in an Agent's Employment -- Mergers and Acquisitions of Firms -- Renewing Registrations -- Canadian Firms and Agents -- Investment Adviser State Registration -- The National Securities Market Improvement Act of 1996 (The Coordination Act) -- Investment Adviser Representative -- State Investment Adviser Registration -- Capital Requirements -- Exams -- Advertising and Sales Literature -- Brochure Delivery -- The Role of the Investment Adviser -- Additional Compensation for an Investment Adviser -- Agency Cross Transactions -- Disclosures by an Investment Adviser.. - 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 -- CHAPTER 2 Pretest -- SECURITIES INDUSTRY RULES AND REGULATIONS -- CHAPTER 3 ECONOMIC FUNDAMENTALS -- Gross Domestic Product -- EXPANSION -- PEAK -- CONTRACTION -- TROUGH -- Recession -- Depression -- Economic Indicators -- LEADING INDICATORS -- COINCIDENT INDICATORS -- LAGGING INDICATORS -- Economic Policy -- Tools of the Federal Reserve Board -- Reserve Requirement -- Changing the Discount Rate -- Federal Open Market Committee -- Money Supply -- M1 -- M2 -- M3 -- Disintermediation -- Moral Suasion -- Fiscal Policy -- CONSUMER PRICE INDEX (CPI) -- INFLATION/DEFLATION -- REAL GDP -- International Monetary Considerations -- CHAPTER 3 Pretest -- ECONOMIC FUNDAMENTALS -- CHAPTER 4 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 -- OMITTING MATERIAL FACTS -- GUARANTEES -- 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.. - 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 adviser. 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 2015 arms you with what you need to score high on this tough 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 66 Exam Review 2015 is your ticket to passing this difficult test on the first try-with flying colors!.
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| ISBN | 9781118857090
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