Wiley Series 26 Exam Review 2015 + Test Bank
The Investment Company Products/Variable Contracts Limited Principal Qualification Examination
(Sprache: Englisch)
The go-to guide to acing the Series 26 Exam!
Passing the Investment Company Products/Variable Contracts Limited Principal Qualification Exam (Series 26) qualifies an individual to operate as a principal responsible for supervising and managing a...
Passing the Investment Company Products/Variable Contracts Limited Principal Qualification Exam (Series 26) qualifies an individual to operate as a principal responsible for supervising and managing a...
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The go-to guide to acing the Series 26 Exam!Passing the Investment Company Products/Variable Contracts Limited Principal Qualification Exam (Series 26) qualifies an individual to operate as a principal responsible for supervising and managing a firm and its agents conducting business in open-end mutual funds, variable annuities, and life insurance. The exam covers hiring and qualification, training of representatives, supervision, sales practices, and business processing and recordkeeping rules. A principal must have passed the Series 6 or Series 7 Exams prior to taking the Series 26.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 26 Exam Review 2015 arms you with everything you need to pass this long 110-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 26 Exam Review 2015 is your ticket to passing the Series 26 test on the first try--with flying colors!
Inhaltsverzeichnis zu „Wiley Series 26 Exam Review 2015 + Test Bank “
ABOUT THE SERIES 26 EXAM XIABOUT THIS BOOK XV
ABOUT THE TEST BANK XVII
ABOUT THE SECURITIES INSTITUTE OF AMERICA XIX
CHAPTER 1 BROKERAGE OFFICE PROCEDURES 1
Hiring New Employees 1
Resignation of a Registered Representative 2
Registration Exemptions 3
Persons Ineligible to Register 3
Disciplinary Actions against a Registered Representative 4
Termination for Cause 5
Outside Employment 5
Private Securities Transactions 5
Gift Rule 6
Sharing in a Customer's Account 7
Borrowing and Lending Money 7
Order Tickets 7
Executing an Order 8
Becoming a Stockholder 9
Dividend Distribution 17
Pretest 21
CHAPTER 2 RECORD KEEPING, FINANCIAL REQUIREMENTS, AND REPORTING 25
Types of Records 25
Storage Requirements 27
Financial Requirements 30
Pretest 45
CHAPTER 3 RECOMMENDATIONS TO CUSTOMERS 51
General Guidelines 51
Recommending Mutual Funds 52
Exchange-Traded Funds (ETFs) 56
Periodic Payment Plans 57
Mutual Fund Current Yield 58
Suitability 58
Fair Dealings with Customers 58
Recommendations to an Institutional Customer 62
Short Sales in Connection with Recommendations 63
Issuing Research Reports 63
Regulation FD (Fair Disclosure) 66
Pretest 67
CHAPTER 4 GENERAL SUPERVISION 71
The Role of the Principal 71
Supervisor Qualifications and Prerequisites 72
Continuing Education 73
Tape Recording Employees 74
Heightened Supervisory Requirements 75
Information Obtained from an Issuer 75
Customer Complaints 76
Investor Information 76
Member Offices 77
Currency Transactions 78
The Patriot Act 79
Pretest 81
CHAPTER 5 CUSTOMER ACCOUNTS
... mehr
85
New Accounts 85
Holding Securities 87
The Depository Trust Company (DTC) 88
Mailing Instructions 89
Types of Account Ownership 89
Trading Authorization 91
Accounts for Employees of Other Broker Dealers 96
Numbered Accounts 96
Prime Brokerage Accounts 96
Account Transfer 97
Margin Accounts 98
Day Trading Accounts 99
Commingling Customer's Pledged Securities 100
Wrap Accounts 100
Regulation S-P 100
Pretest 103
CHAPTER 6 INVESTMENT COMPANIES 107
Investment Company Philosophy 107
Types of Investment Companies 108
Investment Company Registration 111
Investment Company Components 113
Mutual Fund Distribution 115
Mutual Fund Prospectus 116
Anti-Reciprocal Rule 118
Valuing Mutual Fund Shares 119
Sales Charges 120
Taxation of Mutual Funds 127
Voting Rights 132
Yields 133
Portfolio Turnover 133
Purchasing Mutual Fund Shares 133
Withdrawal Plans 136
Pretest 139
CHAPTER 7 VARIABLE ANNUITIES, LIFE INSURANCE, AND RETIREMENT PLANS 143
Annuities 143
Life Insurance 152
Retirement Plans 157
Death of an IRA Owner 162
ERISA 404C SAFE HARBOR 170
Pretest 171
CHAPTER 8 SECURITIES INDUSTRY RULES AND REGULATIONS 175
Issuing Securities 175
The Securities Exchange Act of 1934 178
The National Association of Securities Dealers
New Accounts 85
Holding Securities 87
The Depository Trust Company (DTC) 88
Mailing Instructions 89
Types of Account Ownership 89
Trading Authorization 91
Accounts for Employees of Other Broker Dealers 96
Numbered Accounts 96
Prime Brokerage Accounts 96
Account Transfer 97
Margin Accounts 98
Day Trading Accounts 99
Commingling Customer's Pledged Securities 100
Wrap Accounts 100
Regulation S-P 100
Pretest 103
CHAPTER 6 INVESTMENT COMPANIES 107
Investment Company Philosophy 107
Types of Investment Companies 108
Investment Company Registration 111
Investment Company Components 113
Mutual Fund Distribution 115
Mutual Fund Prospectus 116
Anti-Reciprocal Rule 118
Valuing Mutual Fund Shares 119
Sales Charges 120
Taxation of Mutual Funds 127
Voting Rights 132
Yields 133
Portfolio Turnover 133
Purchasing Mutual Fund Shares 133
Withdrawal Plans 136
Pretest 139
CHAPTER 7 VARIABLE ANNUITIES, LIFE INSURANCE, AND RETIREMENT PLANS 143
Annuities 143
Life Insurance 152
Retirement Plans 157
Death of an IRA Owner 162
ERISA 404C SAFE HARBOR 170
Pretest 171
CHAPTER 8 SECURITIES INDUSTRY RULES AND REGULATIONS 175
Issuing Securities 175
The Securities Exchange Act of 1934 178
The National Association of Securities Dealers
... weniger
Bibliographische Angaben
- Autor: Inc. The Securities Institute of America
- 2015, 3. Aufl., 324 Seiten, Maße: 17 x 28 cm, Kartoniert (TB), Englisch
- Verlag: Wiley & Sons
- ISBN-10: 1118856740
- ISBN-13: 9781118856741
- Erscheinungsdatum: 20.01.2015
Sprache:
Englisch
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