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Securities Industry Developments

Author:
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 72

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Book Description

Securities Industry Developments

Author:
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 72

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Book Description

Market Making and the Changing Structure of the Securities Industry

Author: Yakov Amihud
Publisher: Beard Books
ISBN: 1587981637
Category : Business & Economics
Languages : en
Pages : 338

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Book Description
This is a reprnit of a previously published book. it deals with changes on the U.S. financial market by the Securities Acts Amendment of 1975.

Securities Industry Developments ...

Author: American Institute of Certified Public Accountants. Auditing Standards Division
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 16

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Book Description

The Securities Industry

Author: United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Publisher:
ISBN:
Category : Capital investments
Languages : en
Pages : 264

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Book Description

Securities Industry Study

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 252

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Book Description

Study of the Securities Industry

Author: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 564

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Book Description

Securities Industry Essentials Examination Course

Author: Securities & Insurance Training for Exam Success, Llc
Publisher:
ISBN: 9781544978833
Category :
Languages : en
Pages : 278

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Book Description
About the Securities Industry Essentials Examination (SIE)The SIE is designed to test candidates entering the securities industry in four major topic areas:1. Knowledge of Capital Markets focuses on topics such as types of markets and offerings, broker/dealers and depositories, and economic cycles; 2. Understanding Products and their Risks covers securities products at a high level as well as associated investment risks; 3. Understanding Trading, Customer Accounts, and Prohibited Activities focuses on accounts, orders, settlement and prohibited activities; and, 4. Overview of the Regulatory Framework encompasses topics such as SROs, registration requirements and specified conduct rules.NEW Updates for Second EditionInformation regarding new contribution minimums/maximums for various qualified accounts (i.e. IRAs, defined benefit/contribution plans, Coverdell ESAs, etc.) has been updated to reflect current amounts. 150 multiple choice questions (MCQs) have been added as chapter end quizzes to enhance learning and better prepare you for the Securities Industry Essentials Examination, tentatively scheduled for release in Quarter 1, 2018. **UPDATE** The title has been updated to correct errors found in the previous material. We apologize for any problems this may have created and thank you for your support!