- Chapter 1 - 2
- 1. Investment Companies
- 1.1 Introduction
- 1.2 Securities Act of 1933: Definitions
- 1.3 Registration
- 1.4 Underwriter Requirements and Procedures
- 1.5 Investment Company Act of 1940
- 1.6 Registration of Investment Companies
- 1.7 WRAP Accounts
- 1.8 Structure, Management and Operation of Mutual Funds
- 1.9 Types of Investment Companies
- 1.10 Mutual Fund Pricing
- 1.11 Classes of Fund Shares
- 1.12 Breakpoints
- 1.13 Buying and Redeeming Mutual Funds
- 2. Mutual Fund Accounts
- 2.1 Introduction
- 2.2 Benefits of Mutual Fund Ownership
- 2.3 Types of Mutual Funds
- 2.4 Other Types of Mutual Funds
- 2.5 Mutual Fund Comparisons
- 2.6 Mutual Fund Characteristics and Taxation
- 2.7 Selling Mutual Fund Shares
- 2.8 Opening a New Account and Account Types
- 2.9 Types of Account Agents
- 2.10 Cash and Margin Accounts
- 1. Investment Companies
- Chapter 3 - 4
- 3. Variable Contracts
- 4. Retirement and College Savings Plans
- 4.1 Introduction
- 4.2 Savings Goals
- 4.3 Employer-Sponsored Retirement Plans
- 4.4 Qualified Employer-Sponsored Retirement Plans
- 4.5 Other Qualified Retirement Plans
- 4.6 Non-Qualified Employer-Sponsored Retirement Plans
- 4.7 Individual Retirement Accounts (IRAs)
- 4.8 Roth IRAs
- 4.9 IRA Rules and Regulations
- 4.10 College Savings Plans
- Chapter 5 - 6
- 5. Supervisory Systems
- 6. Communications with Prospects and Customers
- 6.1 Introduction
- 6.2 Securities Act of 1933
- 6.3 Rule 156 - Investment Company Sales Literature
- 6.4 Rule 482 - Advertising Requirements
- 6.5 Investment Company Act of 1940, and FINRA Conduct Rule 2110 and 2120
- 6.6 FINRA Conduct Rule 2210
- 6.7 Standards Applicable to Public Communications, Advertisements and Sales Literature
- 6.8 FINRA Conduct Rule 2211
- 6.9 FINRA Conduct Rule 2212
- Chapter 7 - 8
- 7. Sales Activities
- 7.1 Introduction
- 7.2 Sales Presentations and Use of Sales Tools
- 7.3 Registration and Regulation of Brokers and Dealers
- 7.4 Investment Company Names
- 7.5 FINRA Conduct Rule 2420
- 7.6 FINRA Conduct Rule 2820
- 7.7 FINRA Conduct Rule 2830
- 7.8 Execution of Portfolio Transactions
- 7.9 FINRA Conduct Rule 2310, 2330 and 2510
- 7.10 Prohibited Sales Practices
- 7.11 Other Prohibited Sales Practices
- 8. Recordkeeping Rules
- 7. Sales Activities
Variable Contracts - Introduction
Variable Contracts are outlined within this section of the Series 26 study outline. As with mutual funds, principals should know this information so that they are readily able to ensure representatives are performing their duties correctly.
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