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Wiley Series 9 Exam Review 2016 Test Bank

Wiley Series 9 Exam Review 2016   Test Bank PDF
Author: Securities Institute of America
Publisher: John Wiley & Sons
ISBN: 1119138671
Size: 80.47 MB
Format: PDF, Kindle
Category : Business & Economics
Languages : en
Pages : 216
View: 7315

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Wiley Series 9 Exam Review 2016 Test Bank

by Securities Institute of America, Wiley Series 9 Exam Review 2016 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 9 Exam Review 2016 Test Bank books, The go-to guide to acing the Series 9 Exam! Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise a firm's sales activities in corporate, municipal, and option securities; investment company products; variable contracts; and direct participation programs. The exam covers the full range of topics related to options regulation. All candidates must have passed the Series 7 prior to taking the Series 9. Created by the experts at The Securities Institute of America, Inc., Wiley Series 9 Exam Review 2016 arms you with everything you need to pass this ninety-minute, 55-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 9 Exam Review 2016 is your ticket to passing the Series 9 test on the first try—with flying colors!




Wiley Series 9 Exam Review 2015 Test Bank

Wiley Series 9 Exam Review 2015   Test Bank PDF
Author: The Securities Institute of America, Inc.
Publisher: John Wiley & Sons
ISBN: 1118856864
Size: 15.47 MB
Format: PDF, Mobi
Category : Business & Economics
Languages : en
Pages : 216
View: 5181

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Wiley Series 9 Exam Review 2015 Test Bank

by The Securities Institute of America, Inc., Wiley Series 9 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 9 Exam Review 2015 Test Bank books, The go-to guide to acing the Series 9 Exam! Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise a firm's sales activities in corporate, municipal, and option securities; investment company products; variable contracts; and direct participation programs. The exam covers the full range of topics related to options regulation. All candidates must have passed the Series 7 prior to taking the Series 9. Created by the experts at The Securities Institute of America, Inc., Wiley Series 9 Exam Review 2015 arms you with everything you need to pass this ninety-minute, 55-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 9 Exam Review 2015 is your ticket to passing the Series 9 test on the first try—with flying colors!




Wiley Series 10 Exam Review 2015 Test Bank

Wiley Series 10 Exam Review 2015   Test Bank PDF
Author: Jeff Van Blarcom
Publisher: John Wiley & Sons
ISBN: 1118856953
Size: 20.24 MB
Format: PDF, ePub, Mobi
Category : Business & Economics
Languages : en
Pages : 336
View: 7163

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Wiley Series 10 Exam Review 2015 Test Bank

by Jeff Van Blarcom, Wiley Series 10 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 10 Exam Review 2015 Test Bank books, ABOUT THE SERIES 10 EXAM xi ABOUT THIS BOOK xv ABOUT THE TEST BANK xvii ABOUT THE SECURITIES INSTITUTE OF AMERICA xix CHAPTER 1 SUPERVISION OF BROKERAGE OFFICE PERSONNEL AND PROCEDURES 1 Hiring New Employees 1 Resignation of a Registered Representative 2 Registration Exemptions 4 Retiring Representatives/Continuing Commissions 4 Persons Ineligible to Register 5 Disciplinary Actions Against a Registered Representative 5 Termination for Cause 6 Outside Employment 6 Private Securities Transactions 6 Gift Rule 7 Communications with the Public 8 FINRA Rule 2210 Communications with the Public 9 Broker Dealer Websites 12 Sharing in a Customer's Account 13 Borrowing and Lending Money 13 Order Tickets 13 Executing an Order 14 Becoming a Stockholder 15 Accrued Interest 19 Close Outs 20 Customer Confirmations 20 Rules for Good Delivery 22 Rejection of Delivery 22 Reclamation 23 Marking to the Market 23 Customer Account Statements 24 Carrying of Customer Accounts 24 Dividend Distribution 25 Proxies 27 Box Counts 28 Missing and Lost Securities 28 The Customer Protection Rule 29 Broker Dealer Books and Records 31 Pretest 35 CHAPTER 2 GENERAL SUPERVISION AND CUSTOMER RECOMMENDATIONS 39 The Role of the Principal 39 Supervisor Qualifications and Prerequisites 40 Continuing Education 41 Tape Recording Employees 43 Information Obtained from an Issuer 43 Customer Complaints 44 Mediation 44 Code of Arbitration 45 Investor Information 47 Member Offices 47 Recommendations to Customers 50 Research Reports 55 Regulation FD (Fair Disclosure) 58 The Insider Trading & Securities Fraud Enforcement Act of 1988 59 Firewall 60 Pretest 61 CHAPTER 3 SUPERVISION OF CUSTOMER ACCOUNTS 63 Opening a New Account 63 Holding Securities 65 The Depository Trust Company (DTC) 66 Mailing Instructions 67 Types of Accounts 67 Trading Authorization 70 Retirement Plans 74 Accounts for Employees of Other Broker Dealers 87 Numbered Accounts 88 Prime Brokerage Accounts 88 Account Transfers 89 Margin Accounts 90 Special Memorandum Account (SMA) for a Long Margin Account 97 Wrap Accounts 107 Regulation S-P 107 Currency Transactions 108 The Patriot Act 108 Isolated Sales Account 110 Securities Investor Protection Corporation Act of 1970 (SIPC) 110 The Penny Stock Cold Call Rule 111 Pretest 113 CHAPTER 4 SALES SUPERVISION OF NEW ISSUES 117 The Securities Act of 1933 117 Freeriding and Withholding/FINRA Rule 5130 120 Underwriting Corporate Securities 121 Exempt Securities 125 Exempt Transactions 126 Rule 137 Nonparticipants 131 Rule 138 Nonequivalent Securities 132 Rule 139 Issuing Research Reports 132 Rule 415 Shelf Registration 133 Regulation M, Rule 104 133 Underwriting Direct Participation Programs 135 Investment Company Registration 135 Mutual Fund Distribution 137 Pretest 143 CHAPTER 5 SUPERVISION OF THE SECONDARY MARKET 147 The Securities Exchange Act of 1934 147 Listing Requirements for the NYSE 152 Types of Orders 155 The Exchanges 158 Limit Up Limit Down (LULD) 170 The Nasdaq Market 171 Pink Sheets 182 Trade Reporting and Comparison Service (TRACS) 182 Advanced Computerized Execution System (ACES) 183 The Order Audit Trail System (OATS) 183 Electronic Communication Networks (ECNs) 184 Third Market 185 Nasdaq Market Center for Listed Securities 185 Fourth Market 185 SEC Regulation ATS 186 FINRA 5% Markup Policy 186 Markups and Markdowns When Acting as a Principal 187 Riskless Principal Transactions 188 Proceeds Transactions 189 Dominated and Controlled Markets 189 ACT/TRF Trade Scan 190 Pretest 193 CHAPTER 6 MSRB RULES AND REGULATIONS 197 Municipal Bonds 197 Issuing Municipal Securities 198 Municipal Fund Sec




Wiley Series 63 Exam Review 2015 Test Bank

Wiley Series 63 Exam Review 2015   Test Bank PDF
Author: The Securities Institute of America, Inc.
Publisher: John Wiley & Sons
ISBN: 1118857089
Size: 26.15 MB
Format: PDF
Category : Business & Economics
Languages : en
Pages : 192
View: 5030

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Wiley Series 63 Exam Review 2015 Test Bank

by The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 63 Exam Review 2015 Test Bank books, 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!




Wiley Series 62 Exam Review 2015 Test Bank

Wiley Series 62 Exam Review 2015   Test Bank PDF
Author: Jeff Van Blarcom
Publisher: John Wiley & Sons
ISBN: 111885716X
Size: 36.16 MB
Format: PDF, ePub, Docs
Category : Business & Economics
Languages : en
Pages : 456
View: 1356

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Wiley Series 62 Exam Review 2015 Test Bank

by Jeff Van Blarcom, Wiley Series 62 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 62 Exam Review 2015 Test Bank books, The go-to guide to acing the Series 62 Exam! Passing the Corporate Securities Limited Representative Examination (Series 62) qualifies an individual as a representative for the sale of public offerings and/or private placements of corporate securities, rights, warrants, closed-end funds, money market funds, REITs, asset-backed securities, mortgage-backed securities, and more. Topics covered on the exam include characteristics of securities and investments, the market for corporate securities, evaluation of securities and investments, and handling customer accounts and securities industry regulation. Created by the experts at The Securities Institute of America, Inc., Wiley Series 62 Exam Review 2015 arms you with everything you need to pass this challenging 115-question multiple-choice 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 62 Exam Review 2015 is your ticket to passing the Series 62 test on the first try—with flying colors! Visit www.wileysecuritieslicensing.com for more information. The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year. Our securities training options include: Onsite classes Private tutoring Classroom training Interactive online video training classes State-of-the-art exam preparation software Printed textbooks Real-time tracking and reporting for managers and training directors As a result, you can choose a securities training solution that matches your skill level, learning style, and schedule. Regardless of the format you choose, you can be sure that our securities training courses are relevant, tested, and designed to help you succeed. It is the experience of our instructors and the quality of our materials that make our courses requested by name at some of the largest financial services firms in the world. To contact The Securities Institute of America, visit us on the web at www.SecuritiesCE.com or call 877-218-1776.




Wiley Series 4 Exam Review 2015 Test Bank

Wiley Series 4 Exam Review 2015   Test Bank PDF
Author: The Securities Institute of America, Inc.
Publisher: John Wiley & Sons
ISBN: 1118857070
Size: 28.37 MB
Format: PDF, ePub, Mobi
Category : Business & Economics
Languages : en
Pages : 312
View: 7097

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Wiley Series 4 Exam Review 2015 Test Bank

by The Securities Institute of America, Inc., Wiley Series 4 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 4 Exam Review 2015 Test Bank books, The go-to guide to acing the Series 4 Exam! The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm's options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Options Investment Strategies; Supervision of Sales Activities and Trading Practices; Supervision of Employees, Business Conduct; and Recordkeeping and Reporting Requirements. Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2015 arms you with what you need to score high on the test. Designed to let 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 4 Exam Review 2015 is your ticket to passing the Series 4 test on the first try—with flying colors!




Wiley Series 24 Exam Review 2015 Test Bank

Wiley Series 24 Exam Review 2015   Test Bank PDF
Author: The Securities Institute of America, Inc.
Publisher: John Wiley & Sons
ISBN: 1118857127
Size: 38.59 MB
Format: PDF, Docs
Category : Business & Economics
Languages : en
Pages : 480
View: 1698

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Wiley Series 24 Exam Review 2015 Test Bank

by The Securities Institute of America, Inc., Wiley Series 24 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 24 Exam Review 2015 Test Bank books, The go-to guide to acing the Series 24 Exam! Passing the General Securities Principal Qualification Examination (Series 24) qualifies an individual to act as a principal of a general securities broker-dealer and to supervise the firm and its agents. The exam covers the supervision of such areas as investment banking, underwriting, and research practices; trading and market-making; brokerage office operations; and sales practices and agents, as well as compliance with financial responsibility rules. Candidates must have passed the Series 62 or Series 7 prior to taking the Series 24 Exam. Created by the experts at The Securities Institute of America, Inc., Wiley Series 24 Exam Review 2015 arms you with everything you need to pass this intensive 150-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 24 Exam Review 2015 is your ticket to passing the Series 24 test on the first try—with flying colors!




Wiley Series 65 Exam Review 2015 Test Bank

Wiley Series 65 Exam Review 2015   Test Bank PDF
Author: The Securities Institute of America, Inc.
Publisher: John Wiley & Sons
ISBN: 1118857186
Size: 59.17 MB
Format: PDF
Category : Business & Economics
Languages : en
Pages : 492
View: 5509

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Wiley Series 65 Exam Review 2015 Test Bank

by The Securities Institute of America, Inc., Wiley Series 65 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 65 Exam Review 2015 Test Bank books, The go-to guide to acing the Series 65 Exam! Consisting of 130 multiple-choice questions in the areas of ethics and legal guidelines, investment strategies, investment vehicles, and economics and analysis, the Uniform Investment Adviser Law Examination (Series 65) is designed to qualify candidates as investment adviser representatives. An indispensable resource for anyone preparing to take this tough three-hour exam, Wiley Series 65 Exam Review 2015 was created by the experts at The Securities Institute of America, Inc. It arms you with what you need to score high and pass the Series 65 Exam on your first try. Designed to let 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 features: 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 65 Exam Review 2015 is your ticket to passing the Uniform Investment Adviser Law Examination—with flying colors!




Wiley Series 6 Exam Review 2015 Test Bank

Wiley Series 6 Exam Review 2015   Test Bank PDF
Author: The Securities Institute of America, Inc.
Publisher: John Wiley & Sons
ISBN: 1118856848
Size: 54.31 MB
Format: PDF, Docs
Category : Business & Economics
Languages : en
Pages : 360
View: 7349

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Wiley Series 6 Exam Review 2015 Test Bank

by The Securities Institute of America, Inc., Wiley Series 6 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 6 Exam Review 2015 Test Bank books, The go-to guide to acing the Series 6 Exam! Passing the Series 6 Exam qualifies an individual to function as an agent of a broker dealer and allows the limited representative to transact business in mutual funds (closed-end funds on the initial offering only), unit investment trusts, variable annuities, and variable life insurance products. In addition to passing the Series 6 Exam, an agent may be required to pass a state life insurance exam to transact business in variable contracts. Created by the experts at The Securities Institute of America, Inc., Wiley Series 6 Exam Review 2015 arms you with what you need to score high on this tough 100-question test. Designed to let 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 6 Exam Review 2015 is your ticket to passing the Series 6 test on the first try—with flying colors!




Wiley Series 99 Exam Review 2015 Test Bank

Wiley Series 99 Exam Review 2015   Test Bank PDF
Author: The Securities Institute of America, Inc.
Publisher: John Wiley & Sons
ISBN: 1118857291
Size: 28.59 MB
Format: PDF, Mobi
Category : Business & Economics
Languages : en
Pages : 396
View: 3105

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Wiley Series 99 Exam Review 2015 Test Bank

by The Securities Institute of America, Inc., Wiley Series 99 Exam Review 2015 Test Bank Books available in PDF, EPUB, Mobi Format. Download Wiley Series 99 Exam Review 2015 Test Bank books, 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 2015 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 2015 is your ticket to passing the Series 99 test on the first try—with flying colors!