- Chapter 1 - 4
- 1. Getting Started
- 2. Risk and Tax Considerations
- 3. Equities
- 4. Debt Securities
- Chapter 5 - 8
- 5. Municipal Securities
- 6. Packaged Securities
- 6.1 Introduction
- 6.2 Investment Companies
- 6.3 Unit investment trusts (UITs)
- 6.4 Other Types of Investment Companies
- 6.5 Compliance
- 6.6 Net Asset Value (NAV)
- 6.7 Dollar Cost Averaging
- 6.8 Mutual Fund Management
- 6.9 Types of Mutual Funds
- 6.10 Mutual Fund Distributions
- 6.11 Variable Annuities
- 6.12 Purchasing Variable Annuities
- 6.13 Valuing a Variable Annuity Contract
- 6.14 Real Estate Investment Trusts (REITS)
- 7. Retirement Accounts
- 8. Derivatives
- 8.1 Introduction
- 8.2 What Are Options?
- 8.3 Trading Options
- 8.4 Calls and Puts
- 8.5 Closing Transactions
- 8.6 When To Exercise An Option
- 8.7 Graphical Interpretations for Calls
- 8.8 Graphical Interpretations for Puts
- 8.9 Option Positions
- 8.10 Option Styles
- 8.11 Spread Option Strategies
- 8.12 Straddle Option Strategies
- 8.13 Other Options Strategies
- 8.14 Long Term Equity Anticipation Securities (LEAPS)
- 8.15 Index Options
- 8.16 Other Options
- 8.17 Tax Treatment of Options
- Chapter 9 - 12
- 9. Securities Markets
- 9.1 Introduction
- 9.2 Self-Regulatory Organization (SROs)
- 9.3 Prohibited Activities
- 9.4 Rules Regulating SROs
- 9.5 Primary Market
- 9.6 Registration
- 9.7 Blue Sky Laws and the Securities Act of 1933
- 9.8 Regulation A & D
- 9.9 Secondary Offerings and Shelf Distributions
- 9.10 Primary Market for Bonds
- 9.11 The Securities Exchange Act of 1934
- 9.12 Over the Counter (OTC) Markets
- 9.13 The Currency Market
- 9.14 The Securities Investor Protection Corp. (SIPC)
- 9.15 The Federal Deposit Insurance Corporation (FDIC)
- 9.16 The Business Cycle
- 9.17 Economic Indicators (Part 1 of 2)
- 9.18 Economic Indicators (Part 2 of 2)
- 9.19 Keynesian Theory
- 9.20 Monetarist Theory
- 9.21 The Federal Reserve Board
- 9.22 International Economic Factors
- 10. Customer Accounts
- 10.1 Introduction
- 10.2 Types of Brokerage Accounts
- 10.3 Other Types of Accounts
- 10.4 The Prudent Man Rule
- 10.5 Opening a Brokerage Account
- 10.6 Opening a Retirement Account
- 10.7 Important Account Rules
- 10.8 Closing Accounts
- 10.9 Margin Accounts
- 10.10 Managing Margin Accounts
- 10.11 Margin Account Calculations
- 10.12 Stock Price Changes and Margin Requirements
- 10.13 Purchasing Additional Shares On Margin
- 10.14 Special Memorandum Account
- 10.15 Short Sales
- 10.16 Market Value of a Short Position
- 10.17 Plus Tick Rule
- 10.18 Costs And Fees Associated With Investments
- 10.19 Required Disclosures
- 11. Determining Customer Objectives
- 12. Portfolio Management
- 12.1 Introduction
- 12.2 Diversification
- 12.3 Capital Asset Pricing Theory
- 12.4 Security Market Line
- 12.5 Capital Market Line (CML)
- 12.6 Securities Analysis
- 12.7 Market Indexes and Averages
- 12.8 Technical vs. Fundamental Analysis
- 12.9 Technical Analysis
- 12.10 Fundamental Analysis
- 12.11 LIFO and FIFO Valuation of Inventory
- 12.12 Depreciation
- 12.13 Ratio Analysis
- 12.14 Mutual Fund Analysis
- 12.15 Municipal Bond Analysis
- 12.16 Revenue Bond Analysis
- 12.17 Sources of Information
- 9. Securities Markets
- Chapter 13 - 14
- 13. Securities Transactions
- 14. Rules and Regulations
- 14.1 Introduction
- 14.2 Requirements for Registration
- 14.3 Reporting Outside Business Activities
- 14.4 Investment Advisors
- 14.5 Exceptions to IA Registration
- 14.6 Registering As An Investment Advisor
- 14.7 Standards for Public Communications
- 14.8 Options Disclosure Document
- 14.9 Municipal Security Advertising Standards
- 14.10 Investment Company Product Advertising
- 14.11 Political Contributions
Equities - Introduction
Equity means ownership. With ownership comes the risk that you could lose every nickel you have invested - and more. However, you could also be surprised on the upside, if the company you have bought into grows more quickly than expected.
There are several different types of equity positions:
There are several different types of equity positions:
- Common stock
- Preferred stock
- Rights offerings
- Warrants
- American Depository Receipts (ADRs)
- Direct Participation Programs (DPPs, or partnerships)
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