2.1 Introduction
2.2 Exchange Markets
2.3 Over-The-Counter (OTC) / Negotiated Markets
2.4 The National Association of Securities Dealers Automated Quotation System (Nasdaq)
2.5 Broker-Dealers
2.6 New Issue Market
2.7 Market Terms
2.8 Price Terms
2.9 Yield Terms
2.10 Transacting Securities
2.11 Order Qualifiers
2.2 Exchange Markets
2.3 Over-The-Counter (OTC) / Negotiated Markets
2.4 The National Association of Securities Dealers Automated Quotation System (Nasdaq)
2.5 Broker-Dealers
2.6 New Issue Market
2.7 Market Terms
2.8 Price Terms
2.9 Yield Terms
2.10 Transacting Securities
2.11 Order Qualifiers
3.1 Introduction
3.2 Corporate Bonds
3.3 Other Types of Bonds
3.4 Money Market Instruments
3.5 Treasury Bills
3.6 Corporation and Financial Institution Instruments
3.7 U.S. Government Securities
3.8 Agency Issues and U.S. Savings Bonds
3.9 Municipal Bonds
3.10 Tax Implications
3.11 Corporate Securities: Common Stock
3.12 Corporate Securities: Preferred Stock
3.13 Other Types of Equity Securities
3.2 Corporate Bonds
3.3 Other Types of Bonds
3.4 Money Market Instruments
3.5 Treasury Bills
3.6 Corporation and Financial Institution Instruments
3.7 U.S. Government Securities
3.8 Agency Issues and U.S. Savings Bonds
3.9 Municipal Bonds
3.10 Tax Implications
3.11 Corporate Securities: Common Stock
3.12 Corporate Securities: Preferred Stock
3.13 Other Types of Equity Securities
4.1 Introduction
4.2 Price Changes in the Economy
4.3 Monetary Policy
4.4 Fiscal Policy
4.5 Economic Indicators
4.6 International Economic Factors
4.2 Price Changes in the Economy
4.3 Monetary Policy
4.4 Fiscal Policy
4.5 Economic Indicators
4.6 International Economic Factors
5.1 Introduction
5.2 The Securities Act of 1933
5.3 Securities Exchange Act of 1934
5.4 Investment Advisors Act of 1940
5.5 Investment Company Act of 1940
5.6 Definition of an Investment Company
5.7 Rules and Reporting Requirements for Mutual Funds
5.8 Insider Trading and Securities Fraud Enforcement Act of 1988
5.9 Securities Investors Protection Act of 1970
5.10 Blue Sky Laws
5.2 The Securities Act of 1933
5.3 Securities Exchange Act of 1934
5.4 Investment Advisors Act of 1940
5.5 Investment Company Act of 1940
5.6 Definition of an Investment Company
5.7 Rules and Reporting Requirements for Mutual Funds
5.8 Insider Trading and Securities Fraud Enforcement Act of 1988
5.9 Securities Investors Protection Act of 1970
5.10 Blue Sky Laws
6.1 Introduction
6.2 Rules and By-Laws of FINRA
6.3 Standards of Commercial Honor and Principles of Trade
6.4 Supervision
6.5 FINRA Conduct Rule 2830: Investment Company Securities
6.6 FINRA Conduct Rule 2830: Member Compensation
6.7 FINRA Conduct Rule 2820: Variable Contracts
6.8 FINRA Conduct Rule 2820: Member Compensation
6.2 Rules and By-Laws of FINRA
6.3 Standards of Commercial Honor and Principles of Trade
6.4 Supervision
6.5 FINRA Conduct Rule 2830: Investment Company Securities
6.6 FINRA Conduct Rule 2830: Member Compensation
6.7 FINRA Conduct Rule 2820: Variable Contracts
6.8 FINRA Conduct Rule 2820: Member Compensation
7.1 Introduction
7.2 Federal Income Tax Regulations
7.3 Tax Consequences of the Investment Company's Activities
7.4 Tax Consequences of an Investor's Activities
7.5 Calculating Gains and Losses
7.6 Tax Treatment of Variable Annuity Contracts
7.2 Federal Income Tax Regulations
7.3 Tax Consequences of the Investment Company's Activities
7.4 Tax Consequences of an Investor's Activities
7.5 Calculating Gains and Losses
7.6 Tax Treatment of Variable Annuity Contracts
8.1 Introduction
8.2 Employee Sponsored Retirement Plans
8.3 Qualified Employer-Sponsored Retirement Plans
8.4 Other Employer-Sponsored Plans
8.5 Keogh Plans
8.6 Distribution/Withdrawl Rules
8.7 Nonqualified Employer-Sponsored Retirement Plans
8.8 Traditional IRAs
8.9 Roth IRAs
8.10 IRA Rules and Regulations
8.11 Coverdell Education Savings Plan
8.12 Section 529 College Savings Plans
8.13 Review Questions
8.14 Review Answers
8.2 Employee Sponsored Retirement Plans
8.3 Qualified Employer-Sponsored Retirement Plans
8.4 Other Employer-Sponsored Plans
8.5 Keogh Plans
8.6 Distribution/Withdrawl Rules
8.7 Nonqualified Employer-Sponsored Retirement Plans
8.8 Traditional IRAs
8.9 Roth IRAs
8.10 IRA Rules and Regulations
8.11 Coverdell Education Savings Plan
8.12 Section 529 College Savings Plans
8.13 Review Questions
8.14 Review Answers
9.1 Introduction
9.2 The Prospectus
9.3 Issuing and Underwriting
9.4 Regulation A, D and Rule 147
9.5 Securities Registration
9.6 FINRA Conduct Rule 2210
9.7 FINRA Conduct Rule 2211
9.8 FINRA Conduct Rule 2212
9.9 Securities Act of 1933: RULE 135A
9.10 Securities Act of 1933: Rule 156
9.11 Securities Act of 1933: Rule 482
9.12 Securities Exchange Act of 1934: Rule 10b-3
9.13 Investment Company Act of 1940 and Rules Thereunder
9.2 The Prospectus
9.3 Issuing and Underwriting
9.4 Regulation A, D and Rule 147
9.5 Securities Registration
9.6 FINRA Conduct Rule 2210
9.7 FINRA Conduct Rule 2211
9.8 FINRA Conduct Rule 2212
9.9 Securities Act of 1933: RULE 135A
9.10 Securities Act of 1933: Rule 156
9.11 Securities Act of 1933: Rule 482
9.12 Securities Exchange Act of 1934: Rule 10b-3
9.13 Investment Company Act of 1940 and Rules Thereunder
11.1 Introduction
11.2 Unit Investment Trust (UIT)
11.3 Investment Company Registration, Regulations and Rules
11.4 Structure, Management, and Operation of Mutual Funds
11.5 Restrictions on Mutual Fund Operations
11.6 Benefits of Mutual Fund Ownership
11.7 Types of Funds
11.8 Equity Funds
11.9 Specialized Funds
11.10 Mutual Fund Marketing and Pricing
11.11 Sales Charges and Expenses
11.12 Share Class
11.13 Reduced Sales Charges/Quantity Discounts
11.14 Redemption of Mutual Fund Shares
11.15 Important Factors in the Comparison of Funds
11.16 Performance
11.2 Unit Investment Trust (UIT)
11.3 Investment Company Registration, Regulations and Rules
11.4 Structure, Management, and Operation of Mutual Funds
11.5 Restrictions on Mutual Fund Operations
11.6 Benefits of Mutual Fund Ownership
11.7 Types of Funds
11.8 Equity Funds
11.9 Specialized Funds
11.10 Mutual Fund Marketing and Pricing
11.11 Sales Charges and Expenses
11.12 Share Class
11.13 Reduced Sales Charges/Quantity Discounts
11.14 Redemption of Mutual Fund Shares
11.15 Important Factors in the Comparison of Funds
11.16 Performance
12.1 Introduction
12.2 Fixed vs. Variable Annuities
12.3 Features of Variable Annuities
12.4 Types of Variable Annuities
12.5 Valuation of Variable Annuities
12.6 Types of Annuity Payouts
12.7 Annuity Distributions
12.8 Variable Annuity Charges
12.9 Variable Life Insurance
12.2 Fixed vs. Variable Annuities
12.3 Features of Variable Annuities
12.4 Types of Variable Annuities
12.5 Valuation of Variable Annuities
12.6 Types of Annuity Payouts
12.7 Annuity Distributions
12.8 Variable Annuity Charges
12.9 Variable Life Insurance
13.1 Introduction
13.2 Opening a New Account
13.3 Classification of Accounts
13.4 A Closer Look at Custodial Accounts
13.5 Cash and Margin Accounts
13.6 Anti-Money Laundering Regulations
13.7 Service Instructions
13.8 Maintaining Customer Accounts
13.9 Death or Incompetence of the Account Owner
13.10 FINRA Rules
13.11 Code of Arbitration Procedure
13.12 Securities Exchange Act of 1934
13.2 Opening a New Account
13.3 Classification of Accounts
13.4 A Closer Look at Custodial Accounts
13.5 Cash and Margin Accounts
13.6 Anti-Money Laundering Regulations
13.7 Service Instructions
13.8 Maintaining Customer Accounts
13.9 Death or Incompetence of the Account Owner
13.10 FINRA Rules
13.11 Code of Arbitration Procedure
13.12 Securities Exchange Act of 1934
