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)
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)
2.1 Introduction
2.2 Broker-Dealer Regulation
2.3 Securities Regulation
2.4 State Authority over Federal Covered Securities
2.2 Broker-Dealer Regulation
2.3 Securities Regulation
2.4 State Authority over Federal Covered Securities
3.1 Introduction
3.2 Administrator Authority and Actions
3.3 Civil Liabilities, Felony Punishments and Other Powers
3.4 Administrative Requirements
3.2 Administrator Authority and Actions
3.3 Civil Liabilities, Felony Punishments and Other Powers
3.4 Administrative Requirements
4.1 Introduction
4.2 The Brochure Rule
4.3 Special Disclosure Requirements
4.4 Investment Advisory Contracts
4.5 Advertising
4.6 Solicitation
4.7 Compensation
4.2 The Brochure Rule
4.3 Special Disclosure Requirements
4.4 Investment Advisory Contracts
4.5 Advertising
4.6 Solicitation
4.7 Compensation
5.1 Introduction
5.2 Custody
5.3 Discretion
5.4 Restrictions on IA Recommendations
5.5 Prudent Investor Standards
5.2 Custody
5.3 Discretion
5.4 Restrictions on IA Recommendations
5.5 Prudent Investor Standards
6.1 Introduction
6.2 The Income Statement: Key Calculations
6.3 The Income Statement: Key Ratios - Profit and Operating Margin
6.4 The Income Statement: Key Ratios
6.5 Balance Sheet
6.6 Time Value of Money
6.7 Rates of Return - Internal Rate of Return
6.8 Holding Period Return
6.2 The Income Statement: Key Calculations
6.3 The Income Statement: Key Ratios - Profit and Operating Margin
6.4 The Income Statement: Key Ratios
6.5 Balance Sheet
6.6 Time Value of Money
6.7 Rates of Return - Internal Rate of Return
6.8 Holding Period Return
7.1 Introduction
7.2 Conflicts of Interest
7.3 Investment Adviser Duties
7.4 Anti-fraud provisions and fiduciary duties
7.5 Other Prohibited Behaviors
7.2 Conflicts of Interest
7.3 Investment Adviser Duties
7.4 Anti-fraud provisions and fiduciary duties
7.5 Other Prohibited Behaviors
8.1 Introduction
8.2 Cash Equivalents
8.3 The Federal Reserve
8.4 Bond Yields
8.5 Yield Curves
8.6 Corporate Bonds
8.7 U.S. Government Securities
8.8 Mortgage-Backed Securities - MBS
8.9 Municipal Bonds
8.2 Cash Equivalents
8.3 The Federal Reserve
8.4 Bond Yields
8.5 Yield Curves
8.6 Corporate Bonds
8.7 U.S. Government Securities
8.8 Mortgage-Backed Securities - MBS
8.9 Municipal Bonds
9.1 Introduction
9.2 Types of Stocks
9.3 Common Stock Benefits
9.4 Preferred Stock
9.5 Common Stock Valuation Methods
9.6 Mutual Funds
9.7 Mutual Fund Benefits and Types
9.8 Mutual Fund Classes, Sales Charges and Expenses
9.2 Types of Stocks
9.3 Common Stock Benefits
9.4 Preferred Stock
9.5 Common Stock Valuation Methods
9.6 Mutual Funds
9.7 Mutual Fund Benefits and Types
9.8 Mutual Fund Classes, Sales Charges and Expenses
10.1 Introduction
10.2 International Investing
10.3 Real Estate Investments
10.4 Variable Annuities
10.5 Derivative Securities
10.2 International Investing
10.3 Real Estate Investments
10.4 Variable Annuities
10.5 Derivative Securities
11.1 Introduction
11.2 Client Type
11.3 Current Status and Financial Goals
11.4 Capital and Current Investments
11.5 Risk Tolerance and Non-Financial Considerations
11.2 Client Type
11.3 Current Status and Financial Goals
11.4 Capital and Current Investments
11.5 Risk Tolerance and Non-Financial Considerations
12.1 Introduction
12.2 Asset Allocation
12.3 Strategic vs. Tactical Asset Allocation
12.4 Diversification
12.5 Active vs. Passive Portfolio Styles
12.2 Asset Allocation
12.3 Strategic vs. Tactical Asset Allocation
12.4 Diversification
12.5 Active vs. Passive Portfolio Styles
13.1 Introduction
13.2 Individual Income Tax Issues
13.3 Holding Period and Cost Basis
13.4 Netting Capital Gains and Losses and Wash Sales
13.5 Corporate and Trust Income Tax
13.6 Estate and Gift Taxes
13.2 Individual Income Tax Issues
13.3 Holding Period and Cost Basis
13.4 Netting Capital Gains and Losses and Wash Sales
13.5 Corporate and Trust Income Tax
13.6 Estate and Gift Taxes
14.1 Introduction
14.2 Traditional Individual Retirement Accounts (IRAs)
14.3 Roth Individual Retirement Account
14.4 Qualified Retirement Plans
14.5 ERISA Issues
14.6 Nonqualified Retirement Plans
14.2 Traditional Individual Retirement Accounts (IRAs)
14.3 Roth Individual Retirement Account
14.4 Qualified Retirement Plans
14.5 ERISA Issues
14.6 Nonqualified Retirement Plans
15.1 Introduction
15.2 Economic Indicators
15.3 Business Cycle
15.4 Economic Growth Factors
15.5 The Effect of the Business Cycle on Stock Markets
15.6 Interest Rates
15.2 Economic Indicators
15.3 Business Cycle
15.4 Economic Growth Factors
15.5 The Effect of the Business Cycle on Stock Markets
15.6 Interest Rates
16.1 Introduction
16.2 Bond Risks and Duration
16.3 Stock Risks
16.4 Risk-Reduction Strategies for Stocks
16.5 Measuring Portfolio Returns
16.2 Bond Risks and Duration
16.3 Stock Risks
16.4 Risk-Reduction Strategies for Stocks
16.5 Measuring Portfolio Returns
17.1 Introduction
17.2 Securities Terminology
17.3 Trading Terminology
17.4 Order Types
17.5 Account Types
17.2 Securities Terminology
17.3 Trading Terminology
17.4 Order Types
17.5 Account Types
