Series 66

Chapter 1 - 5
- 1. Quantitative Methods
- 2. Measuring Portfolio Returns
- 3. Analyzing Your Client's Financial Profile
- 4. Special Issues for Retirement Plans
- 5. Portfolio Risks
Chapter 6 - 10
- 6. Portfolio Management Strategies, Styles and Techniques
- 7. Foundation for Regulatory Issues
  - 7.1 Introduction
  - 7.2 USA Regulation and The Administrator
- 8. Regulation of Investment Advisors and Investment Advisor Representatives
- 9. Regulation of Broker-dealers
- 10. Regulation of Sales Representatives (Agents)
Chapter 11 - 15
- 11. Regulation of Securities
- 12. Remedies and Administrative Procedures
- 13. Client Communication and Compensation Issues
- 14. Handling Client Funds
- 15. Conflicts of Interest
Chapter 16
- 16. Exam Preparation

Conflicts of Interest - Introduction

Both the Investment Advisers Act of 1940 and the Uniform Securities Act spell out a number of potential conflicts of interest and unethical behaviors.

Next: Excessive Trading and Insider Trading »

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Series 66

Conflicts of Interest - Introduction

The Impact Of Currency Conversions

Follow The Herd In Trading The Capital Market

Why Is Monsanto Evil, But DuPont Isn't?

6 Volunteer Opportunities For Finance Professionals

How Interest Rates Affect The Housing Market

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How Companies Can Attract Top Female Employees

The Secret Finances Of The Vatican Economy

Why The 4% Rule No Longer Works For Retirees

Do You Dare Sue Your Broker?