- Chapter 1 - 5
- 1. Regulation of Investment Advisors
- 1.1 Introduction
- 1.2 Who Must Register As An Investment Adviser?
- 1.3 Exclusions from IA Registration
- 1.4 SEC Investment Adviser Releases IA 770 & 1092
- 1.5 State Registered Investment Advisers
- 1.6 Federal (SEC) vs. State Registration
- 1.7 State Registration Process
- 1.8 Federally Registered Investment Advisers
- 1.9 Investment Adviser Representatives (IARs)
- 2. Regulation of Broker-Dealers and Securities
- 3. Remedies and Administrative Provisions
- 4. Client Communication and Compensation
- 5. Handling Client Funds
- 1. Regulation of Investment Advisors
- Chapter 6 - 10
- 6. Quantitative Methods of Evaluating Businesses and Investments
- 7. Conflicts of Interest
- 8. Cash Equivalents and Fixed Income Securities
- 9. Stocks and Mutual Funds
- 10. Alternative Investments
- Chapter 11 - 15
- 11. Analyzing Your Client's Financial Profile
- 12. Portfolio Management
- 13. Taxation Issues
- 14. Retirement Plans
- 15. Basic Economic Concepts
- Chapter 16 - 17
Portfolio Management - Introduction
Introduction
Once you have obtained information about your client's goals and financial situation, you can begin making investment recommendations. This process begins with choosing an appropriate asset allocation.
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