- Chapter 1 - 4
- 1. Exam Details
- 2. Securities Markets
- 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
- 3. Investment Securities
- 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
- 4. Economic Factors
- Chapter 5 - 8
- 5. Securities Industry Regulations
- 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
- 6. FINRA Conduct Rules
- 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
- 7. Taxation Issues
- 8. Retirement and College Savings Plans
- 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
- 5. Securities Industry Regulations
- Chapter 9 - 12
- 9. Marketing and Sales Presentations
- 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
- 10. Evaluation of Customers
- 11. Investment Companies
- 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
- 12. Variable Contracts
- 9. Marketing and Sales Presentations
- Chapter 13
- 13. Customer Accounts
- 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. Customer Accounts
Taxation Issues - Introduction
Income taxation can have a significant impact on your client's portfolio and financial plans.
comments powered by Disqus
Free Annual Reports
