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The go-to guide to acing the Series 10 Exam!Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise sales activities in c… Mehr…

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Securities Insti of America Inc:

Wiley Series 10 Exam Review 2013 + Test Bank - Taschenbuch

2013, ISBN: 9781118671146

The go-to guide to acing the Series 10 Exam! Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise sales activities in … Mehr…

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Wiley Series 10 Exam Review 2013 + Test Bank: The General Securities Sales Supervisor Qualification Examination General Module - Taschenbuch

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2013, ISBN: 1118671147

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Wiley Series 10 Exam Review 2013 + Test Bank
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9781118671146

Detailangaben zum Buch - Wiley Series 10 Exam Review 2013 + Test Bank


EAN (ISBN-13): 9781118671146
ISBN (ISBN-10): 1118671147
Taschenbuch
Erscheinungsjahr: 2013
Herausgeber: Wiley

Buch in der Datenbank seit 2013-10-16T13:58:29+02:00 (Berlin)
Detailseite zuletzt geändert am 2016-07-21T20:28:38+02:00 (Berlin)
ISBN/EAN: 9781118671146

ISBN - alternative Schreibweisen:
1-118-67114-7, 978-1-118-67114-6
Alternative Schreibweisen und verwandte Suchbegriffe:
Titel des Buches: test, wiley series

Daten vom Verlag:

Titel: Wiley FINRA; Wiley Series 10 Exam Review 2013 + Test Bank - The General Securities Sales Supervisor Qualification Examination - General Module
Verlag: John Wiley & Sons
Erscheinungsjahr: 2013-11-08
Gewicht: 1,833 kg
Sprache: Englisch
225,00 € (DE)
Not available (reason unspecified)

BC; PB; Hardcover, Softcover / Wirtschaft/Betriebswirtschaft; Betriebswirtschaft und Management; Finanzwesen

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 3 Retiring Representatives/Continuing Commissions 4 Persons Ineligible to Register 4 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 11 Sharing in a Customer's Account 12 Borrowing and Lending Money 12 Order Tickets 13 Executing an Order 13 Becoming a Stockholder 15 Accrued Interest 19 Close Outs 19 Customer Confirmations 20 Rules for Good Delivery 21 Rejection of Delivery 22 Reclamation 22 Marking to the Market 23 Customer Account Statements 23 Carrying of Customer Accounts 24 Dividend Distribution 24 Proxies 27 Box Counts 27 Missing and Lost Securities 28 The Customer Protection Rule 29 Broker Dealer Books and Records 30 Pretest 35 CHAPTER 2 GENERAL SUPERVISION AND CUSTOMER RECOMMENDATIONS 39 The Role of the Principal 39 Supervisor Qualifi cations 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 58 Firewall 59 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 132 Regulation M, Rule 104 133 Underwriting Direct Participation Programs 135 Investment Company Registration 135 Mutual Fund Distribution 136 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 The Nasdaq Market 170 Pink Sheets 182 Trade Reporting and Comparison Service (TRACS) 182 Advanced Computerized Execution System (ACES) 182 The Order Audit Trail System (OATS) 183 Electronic Communication Networks (ECNs) 183 Third Market 184 Nasdaq Market Center for Listed Securities 184 Fourth Market 185 SEC Regulation ATS 185 FINRA 5% Markup Policy 186 Markups and Markdowns When Acting as a Principal 187 Riskless Principal Transactions 188 Proceeds Transactions 188 Dominated and Controlled Markets 188 ACT/TRF Trade Scan 189 Pretest 193 CHAPTER 6 MSRB RULES AND REGULATIONS 197 Municipal Bonds 197 Issuing Municipal Securities 198 Municipal Fund Securities 209 Municipal Bond Trading 210 Recommending Municipal Bonds 214 Municipal Bond Advertising 214 Municipal Bond Insurance 215 Political Contributions 215 Registration Requirements for Municipal Securities Professionals 217 MSRB Overview 218 Pretest 223 ANSWER KEYS 227 GLOSSARY OF EXAM TERMS 233 INDEX 299
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