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Wiley Series 63 Exam Review 2013 + Test Bank - The Uniform Securities Examination
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Wiley Series 63 Exam Review 2013 + Test Bank - The Uniform Securities Examination - neues Buch

2013, ISBN: 1118675444

In englischer Sprache. Verlag: John Wiley & Sons, ABOUT THE SERIES 63 EXAM IX ABOUT THIS BOOK XIII ABOUT THE TEST BANK XV ABOUT THE SECURITIES INSTITUTE OF AMERICA XVII CHAPTER 1 FEDERAL … Mehr…

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Wiley Series 63 Exam Review 2013 + Test Bank - The Uniform Securities Examination
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Wiley Series 63 Exam Review 2013 + Test Bank - The Uniform Securities Examination - neues Buch

2013, ISBN: 1118675444

In englischer Sprache. Verlag: John Wiley & Sons, ABOUT THE SERIES 63 EXAM IX ABOUT THIS BOOK XIII ABOUT THE TEST BANK XV ABOUT THE SECURITIES INSTITUTE OF AMERICA XVII CHAPTER 1 FEDERAL … Mehr…

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Wiley:
Wiley Series 63 Exam Review 2013 + Test Bank - neues Buch

2013

ISBN: 9781118675441

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 t… Mehr…

  - MPN: , SKU 17812916 Versandkosten:zzgl. Versandkosten
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Wiley Series 63 Exam Review 2013 + Test Bank (eBook, PDF) - John Wiley & Sons
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John Wiley & Sons:
Wiley Series 63 Exam Review 2013 + Test Bank (eBook, PDF) - neues Buch

2013, ISBN: 9781118675441

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 th… Mehr…

  - Nr. 39120800 Versandkosten:, , DE. (EUR 0.00)
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Wiley Series 63 Exam Review 2013 + Test Bank (eBook, PDF) - John Wiley & Sons
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John Wiley & Sons:
Wiley Series 63 Exam Review 2013 + Test Bank (eBook, PDF) - neues Buch

2013, ISBN: 9781118675441

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 … Mehr…

  - Nr. 39120800 Versandkosten:, , DE. (EUR 0.00)

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Bibliographische Daten des bestpassenden Buches

Details zum Buch

Detailangaben zum Buch - Wiley Series 63 Exam Review 2013 + Test Bank


EAN (ISBN-13): 9781118675441
ISBN (ISBN-10): 1118675444
Erscheinungsjahr: 2013
Herausgeber: Wiley, J
192 Seiten
Sprache: eng/Englisch

Buch in der Datenbank seit 2012-04-25T11:35:57+02:00 (Berlin)
Detailseite zuletzt geändert am 2016-07-21T20:28:39+02:00 (Berlin)
ISBN/EAN: 9781118675441

ISBN - alternative Schreibweisen:
1-118-67544-4, 978-1-118-67544-1
Alternative Schreibweisen und verwandte Suchbegriffe:
Titel des Buches: bánk bán, uniform, test, wiley series


Daten vom Verlag:

Titel: Wiley FINRA; Wiley Series 63 Exam Review 2013 + Test Bank - The Uniform Securities Examination
Verlag: John Wiley & Sons
192 Seiten
Erscheinungsjahr: 2013-07-09
Sprache: Englisch
48,99 € (DE)
Not available (reason unspecified)

EA; E107; E-Book; Nonbooks, PBS / Wirtschaft/Betriebswirtschaft; Finanzenwesen und Finanzindustrie; Finanz- u. Anlagewesen; Finance & Investments; Finanzwesen; Allg. Finanz- u. Anlagewesen

ABOUT THE SERIES 63 EXAM IX ABOUT THIS BOOK XIII ABOUT THE TEST BANK XV ABOUT THE SECURITIES INSTITUTE OF AMERICA XVII CHAPTER 1 FEDERAL LAW REVIEW 1 The Securities Act of 1933 1 The Prospectus 2 The Final Prospectus 2 Misrepresentations 3 The Securities Exchange Act of 1934 3 Net Capital Requirement 7 Customer Coverage 7 Fidelity Bond 8 The Insider Trading and Securities Fraud Enforcement Act of 19888 Firewall 9 The Telephone Consumer Protection Act of 1991 9 National Securities Market Improvement Act of 1996 10 The Uniform Securities Act 11 The Uniform Prudent Investors Act of 1994 11 CHAPTER 2 DEFINITIONS OF TERMS 13 Security 13 Person 15 Broker Dealer 16 Pension Consultants 18 Form ADV 18 Investment Adviser Representative 19 Off er/Off er to Sell/Off er to Buy 21 Sale/Sell 21 Guarantee/Guaranteed 22 Contumacy 22 Federally Covered Exemption 22 Pretest 23 CHAPTER 3 REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS29 Registration of Broker Dealers and Agents 29 Agent Registration 30 Registering Broker Dealers 31 Financial Requirements 32 Broker Dealers on the Premises of Other Financial Institutions32 Registering Agents 32 Canadian Firms and Agents 34 Investment Adviser Registration 34 The National Securities Market Improvement Act of 1996/TheCoordination Act 35 Investment Adviser Representative 36 Investment Adviser Registration 36 Capital Requirements 37 Exams 37 Advertising and Sales Literature 38 Brochure Delivery 39 Wrap Accounts 39 Pretest 41 CHAPTER 4 SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPTTRANSACTIONS 47 Exempt Securities 47 Securities Registration 48 Registration of IPOs Through Coordination 48 Registration Through Notice Filing 49 Registration of Non-Established Issuers/Registration ThroughQualification 49 Exempt Securities/Federally Covered Exemption 51 Exempt Transactions 52 Pretest 57 CHAPTER 5 PROFESSIONAL CONDUCT AND PROHIBITED AND FRAUDULENT ACTIONS63 Fraud 63 Professional Conduct 64 Suitability 64 Market Manipulation 66 Customer Complaints 67 The Role of the Investment Adviser 67 Additional Compensation for an Investment Adviser 68 Agency Cross Transactions 68 Disclosures by an Investment Adviser 68 Investment Adviser Contracts 70 Private Investment Companies/Hedge Funds 70 Soft Dollars 70 Pretest 73 CHAPTER 6 THE STATE SECURITIES ADMINISTRATOR AND THE UNIFORM SECURITIESACT 81 Actions by the State Securities Administrator 81 Cancellation of a Registration 82 Withdrawal of a Registration 83 Actions Against an Issuer of Securities 83 Rule Changes 83 Administrative Orders 83 Interpretive Opinions 84 Administrative Records 84 Investigations 85 Civil and Criminal Penalties 85 Jurisdiction of the State Securities Administrator 86 Administrator's Jurisdiction over Securities Transactions86 Right of Rescission 88 Statute of Limitations 89 Pretest 91 ANSWER KEYS 97 GLOSSARY OF EXAM TERMS 105 INDEX 171

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