Wiley FINRA Series 62 Exam Review 2017 PDF Download
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Author: Wiley
Publisher: John Wiley & Sons
ISBN: 111940312X
Category : Business & Economics
Languages : en
Pages : 551
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Book Description
The go-to guide to acing the Series 62 Exam! Passing the Corporate Securities Limited Representative Exam (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 2017 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 2017 is your ticket to passing the Series 62 test on the first try—with flying colors!
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 111940312X
Category : Business & Economics
Languages : en
Pages : 551
Get Book Here
Book Description
The go-to guide to acing the Series 62 Exam! Passing the Corporate Securities Limited Representative Exam (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 2017 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 2017 is your ticket to passing the Series 62 test on the first try—with flying colors!
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119379776
Category : Business & Economics
Languages : en
Pages : 218
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Book Description
Exercising a Call -- Exercising a Put -- Protective Puts -- Covered Calls -- Option Contract Margin Requirements -- Margin Requirements When Exercising a Call -- Margin Requirements When Exercising a Put -- Margin Requirements When Writing a Call -- Margin Requirements When Writing a Put -- Margin Requirements When Establishing a Spread -- Pretest -- Chapter 6 Option Compliance and Account Supervision -- Duties of the ROSFP -- Option Account Compliance -- Outside Accounts for Employees -- Option Agreements -- Option Account Supervision -- Large Option Position Reporting Requirements -- Customer Confirmations and Account Statements -- Customer Complaints -- Communications with the Public -- FINRA Rule 2210 Communications with the Public -- Retail Communication -- Institutional Communications -- Correspondence Communications -- Pretest -- Answer Keys -- Glossary of Exam Terms -- Index -- Advert -- Access Code -- EULA
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119379865
Category : Business & Economics
Languages : en
Pages : 362
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Book Description
Wiley Series 10 Exam Review 2017 -- Contents -- About the Series 10 Exam -- About This Book -- About the Test Bank -- About the Securities Institute of America -- Chapter 1 Supervision of Brokerage Office Personnel and Procedures -- Hiring New Employees -- Resignation of a Registered Representative -- Registration Exemptions -- Foreign Broker Dealers -- Compensation Paid to Unregistered Persons -- Retiring Representatives/Continuing Commissions -- Persons Ineligible to Register -- Disciplinary Actions Against a Registered Representative -- Termination for Cause -- Outside Employment -- Private Securities Transactions -- Gift Rule -- Communications with the Public -- FINRA Rule 2210 Communications with the Public -- Retail Communication -- Institutional Communications -- Correspondence -- Broker Dealer Websites -- Testimonials -- Free Services -- Sharing in a Customer's Account -- Borrowing and Lending Money -- Order Tickets -- Executing an Order -- Order Room/Wire Room -- Purchase and Sales Department -- Margin Department -- Cashiering Department -- Becoming a Stockholder -- Trade Date -- Settlement Date -- Payment Date -- Violation -- Clearly Erroneous Reports -- Execution Errors -- As/Of Trades -- Corporate and Municipal Securities Settlement Options -- Government Securities Settlement Options -- Accrued Interest -- Calculating Accrued Interest -- Close Outs -- Customer Confirmations -- Rules for Good Delivery -- Delivery of Round Lots -- Delivery of Bond Certificates -- Rejection of Delivery -- Reclamation -- Marking to the Market -- Customer Account Statements -- Carrying of Customer Accounts -- Dividend Distribution -- Declaration Date -- Ex Dividend Date -- Record Date -- Payment Date -- Stock Price and the Ex Dividend Date -- Dividend Disbursement Process -- Due Bills -- Proxies -- Box Counts -- Missing and Lost Securities
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119379911
Category : Business & Economics
Languages : en
Pages : 326
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Book Description
"Passing the Uniform Combined State Law Examination (Series 66) qualifies an individual to represent both a broker-dealer and an investment adviser. It covers such topics as client investment strategies and ethical business practices. Taken as a corequisite with the Series 7 Exam, candidates must complete the Series 66 Exam in order to register as an agent with a state securities administrator." --
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119379873
Category : Business & Economics
Languages : en
Pages : 434
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Book Description
Limited Partnership Analysis -- Tax Deductions vs. Tax Credits -- Other Tax Considerations -- Dissolving a Partnership -- Pretest -- Chapter 2 Brokerage Office Procedures and Back-Office Operations -- Hiring New Employees -- Resignation of a Registered Representative -- Registration Exemptions -- Persons Ineligible to Register -- Disciplinary Actions Against a Registered Representative -- Termination for Cause -- Outside Employment -- Private Securities Transactions -- Gift Rule -- Sharing in a Customer's Account -- Borrowing and Lending Money -- Order Tickets -- Executing an Order -- Sales Department -- Order Room/Wire Room -- Purchase and Sales Department -- Margin Department -- Cashiering Department -- Custody Department -- Corporate Action Department -- Becoming a Stockholder -- Trade Date -- Settlement Date -- Payment Date -- Violation -- Clearly Erroneous Reports -- Execution Errors -- Unconfirmed Trades -- Corporate and Municipal Securities Settlement Options -- Cash -- Next Day -- Seller's Option -- Buyer's Option -- RVP/DVP/COD -- When-Issued Securities -- Government Securities Settlement Options -- Accrued Interest -- Calculating Accrued Interest -- Close Outs -- Customer Confirmations -- Rules for Good Delivery -- Delivery of Round Lots -- Delivery of Bond Certificates -- Rejection of Delivery -- Reclamation -- Marking to the Market -- Customer Account Statements -- Dividend Distribution -- Declaration Date -- Ex-Dividend Date -- Record Date -- Payment Date -- Stock Price and the Ex-Dividend Date -- Dividend Disbursement Process -- Due Bills -- Proxies -- Operations Professionals Covered Persons -- Operational Red Flags -- Pretest -- Chapter 3 Record Keeping, Financial Requirements, and Clearing -- Blotters -- General Ledger -- Customer Accounts -- Suspense Account -- Subsidiary (Secondary) Records
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119379792
Category : Business & Economics
Languages : en
Pages : 386
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Book Description
This book is designed to let you build and fine-tune your knowledge of all areas covered in the exam. It provides dozens of examples, assorted practice questions for each subject area covered in the exam, test-taking tips and strategies, and helpful hints on how to study for the test, manage stress, and stay focused.
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 111937975X
Category : Business & Economics
Languages : en
Pages : 626
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Book Description
Tax Equivalent Yield -- Purchasing a Municipal Bond Issued in the State in which the Investor Resides -- Triple Tax Free -- Original Issue Discount (OID) and Secondary Market Discounts -- Amortization of a Municipal Bond's Premium -- Bond Swaps -- Analyzing Municipal Bonds -- Analyzing General Obligation Bonds -- The Debt Statement -- Self-Supporting Debt -- Net Direct Debt -- Net Total Debt -- Community Factors -- Sources of Tax Revenue -- Determining Property Taxes -- Important Financial Ratios for General Obligation Bonds -- Analyzing Revenue Bonds -- Types of Revenue Pledge -- Municipal Fund Securities -- Municipal Securities Rulemaking Board (MSRB) -- Pretest -- Chapter 5 The Money Market -- Money Market Instruments -- Corporate Money Market Instruments -- Bankers' Acceptances -- Negotiable Certificates of Deposit -- Commercial Paper -- Federal Fund Loans -- Repurchase Agreements -- Reverse Repurchase Agreement -- Fixed vs. Open Repurchase Agreements -- Government Money Market Instruments -- Municipal Money Market Instruments -- International Money Market Instruments -- Interest Rates -- The Discount Rate -- Federal Funds Rate -- Broker Call Loan Rate -- Prime Rate -- London Interbank Offered Rate/LIBOR -- Pretest -- Chapter 6 Economic Fundamentals -- Gross Domestic Product (GDP) -- Expansion -- Peak -- Contraction -- Trough -- Recession -- Depression -- Economic Indicators -- Leading Indicators -- Coincident Indicators -- Lagging Indicators -- Schools of Economic Thought -- Clasical Economics -- Keynesian Economics -- The Monetarists -- Economic Policy -- Tools of The Federal Reserve Board -- Reserve Requirement -- Changing the Discount Rate -- Federal Open Market Committee -- Money Supply -- Disintermediation -- Moral Suasion -- Fiscal Policy -- Consumer Price Index (CPI) -- Inflation/Deflation -- Real GDP
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119379806
Category : Business & Economics
Languages : en
Pages : 326
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Book Description
Simplified Arbitration -- Larger Disputes -- Awards Under Arbitration -- Investor Information -- Violations and Complaints -- Resolution of Allegations -- Minor Rule Violation -- Firm Element Continuing Education -- Regulatory Element -- Circuit Breakers -- Limit up Limit down (LULD) -- Pretest -- Answer Keys -- Chapter 1: Option Basics -- Chapter 2: Option Strategies -- Chapter 3: Index, Interest Rate, and Currency Options -- Chapter 4: The Options MarketPlace -- Chapter 5: Option Taxation and Margin Requirements -- Chapter 6: Option Compliance and Account Supervision -- Chapter 7: Securities Industry Rules and Regulations -- Glossary of Exam Terms -- Index -- Advert -- Access Code -- EULA
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119399971
Category : Business & Economics
Languages : en
Pages : 238
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Book Description
The go-to guide for the Series 3, with practice, examples, strategies, and more Wiley Series 3 Exam Review 2017 + Test Bank is a comprehensive study guide for the FINRA Series 3 exam, which qualifies candidates to sell commodities or futures contracts. Created by the experts at The Securities Institute of America, Inc., this useful guide provides the information and practice you need to ace the exam. The book is designed to help you build and fine-tune your knowledge of each subject area covered, giving you the confidence you need to perform at your best. Work through review questions, study examples, and develop a strategy for the exam itself. You'll even find guidance toward effective studying methods that allow you to enter the exam fully mentally prepared. The National Commodities Futures Examination (Series 3) tests your knowledge of rules and statutes applicable to the markets. This intense two and a half hour test is a must for aspiring financial professionals, as passing means registration to conduct business in commodity futures and options. This book provides a valuable opportunity to test your knowledge and bring weak areas up to par, with complete coverage of exam topics. Review practice questions taken from each subject area covered by the exam Study hundreds of examples to clarify complex concepts and techniques Gain insight into the best strategies and tips for taking the Series 3 Develop an effective study plan to stay focused and keep stress to a minimum Although the exam is entry-level, the stakes are high and the subject matter is complex. Don't muddle through it alone and assume you're prepared – this guide helps you be sure. For the Series 3 candidate serious about success, Wiley Series 3 Exam Review 2017 is your ticket to passing with flying colors – the first time.
Author: Wiley
Publisher: John Wiley & Sons
ISBN: 1119403227
Category : Business & Economics
Languages : en
Pages : 697
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Book Description
The go-to guide to acing the Series 57 Exam! Passing The Securities Trader Examination (Series 57) qualifies an individual to engage in NASDAQ and OTC Equity trading and to act as a proprietary trader. The exam covers Market Overview and Products, Engaging in Professional Conduct and Adhering to Regulatory Requirements, Trading Activities, Maintaining Books and Records and Trade Reporting. There are no prerequisites to taking the series 57 exam other than being sponsored by a FINRA member firm. Created by the experts at The Securities Institute of America, Inc., Wiley Series 57 Exam Review 2017 arms you with everything you need to pass this challenging 125-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 57 Exam Review 2017 is your ticket to passing the Series 57 test on the first try—with flying colors! Visit www.efficientlearning.com/finra 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.
