Del 3 - Boston Institute of Finance

Boston Institute of Finance Mutual Fund Advisor Course

Series 6 and Series 63 Test Prep

Häftad, Engelska, 2005

379 kr

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Access the industry?s premier print study guide and the industry?s premier online test-prep materials with this unique package. The study guide consists of seven chapters, which parallel the content of the exams. Each chapter includes review questions and provides the core knowledge necessary to pass the exams. The associated test-prep Web course provides sample test questions and tips that will help you get a better feel for the actual exams. Filled with in-depth insight and expert guidance, you won?t need anything else to pass the Series 6 and Series 63 exams. Order your copy today.

Produktinformation

Utgivningsdatum2005-06-03
Mått213 x 279 x 15 mm
Vikt499 g
FormatHäftad
SpråkEngelska
SerieBoston Institute of Finance
Antal sidor208
FörlagJohn Wiley & Sons Inc
ISBN9780471712343

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Finansiering inom Ekonomi och Ledarskap

The BOSTON INSTITUTE OF FINANCE (BIF) (www.Bostonifi.com) develops and distributes multimedia and interactive learning solutions for professionals in the financial services industry. BIF possesses the largest digital repository of training material in the industry and manages the certification and training programs of thousands of corporate and individual learners in the United States and around the world.

Preface ixSeries 6 Test Preparation 1Introduction 31 Investment Securities 9Introduction 9Money and Capital Markets 9Common Stock 10Preferred Stock 10Corporate Bonds 11Other Types of Corporate Bonds 12Convertible Bonds 12Zero Coupon Bonds 12Interest Rate Risk 13Yields 13Rights 13Warrants 14Collateralized Mortgage Obligations 14Interest Rates and Bond Concepts 14US Government Securities. 15Municipal Bonds 16Money Market Instruments 16Bankers’ Acceptances 16Commercial Paper 16Negotiable Certificates of Deposit 17Interbank Market for Foreign Currencies 17Eurodollar Bonds 17Additional Concepts 17Review Questions 19Answers to Review Questions 222 Securities Markets 23Introduction 23Types of Investment Risk 23Economic Factors 25Suitability and Risk Factors 25Review Questions 27Answers to Review Questions 293 Open-End Investment Companies 31Introduction 31Types of Funds 32Classes of Shares 33Mutual Fund Accounts. 34Distributions by Funds 35Taxation of Mutual Funds. 36Mutual Fund Expenses. 36Review Concepts 37Important Points 37Additional Concepts 38Review Questions 40Answers to Review Questions 444 Regulation of Investment Companies 45Introduction 45Sales Charges 46Breakpoints 46Advertising by Funds 47Mutual Fund Sales Literature 48Dollar Cost Averaging 48NASD Rules Concerning Investment Companies 48Mutual Fund Sales by Banks 50Additional Concepts 51Review Questions 53Answers to Review Questions 575 Variable Annuities and Retirement Plans 59Introduction 59Fixed Annuities 59Variable Annuities 59Additional Concepts—Variable Annuities 61Variable Life Insurance 62Main Points—Variable Life Insurance Contracts 63Employee Retirement Income Security Act of 1974 64Keogh Plans 64Individual Retirement Accounts 64Simplified Employee Pension Plan 66Pension and Profit Sharing Plans 66401(k) Plans 66403(b) Plans 67Review Questions 68Answers to Review Questions 726 NASD Rules and Regulations 73Certificate of Incorporation 73Bylaws of the NASD 73Advertising Rules 74Broker/Dealers 75Recommendations Made to Customers 75Private Securities Transactions 76Prompt Receipt and Delivery of Securities 76Proxy Material 76NASD Hot-Issue Rules 76Charges for Services 77Confirmations 77Discretionary Accounts. 78Dealing with Nonmembers 78Other Provisions of NASD Rules 78NASD Code of Procedure. 80Uniform Practice Code 80Confirmations or Comparisons 80Good Delivery of Securities 80Trade Date and Settlement Date 80Investment Companies and NASD Rules of Fair Practice 81Review Questions 82Answers to Review Questions 877 Federal and State Regulations 89Securities Act of 1933 89Exempted Securities under the 1933 Act 89Red Herring Prospectus 90Final Prospectus90Effective Date of Registration Statement90Liabilities under the 1933 Act 90The Securities Exchange Act of 1934 91Insider Transactions 91Market Manipulation 92Securities Investor Protection Act of 1970 92State Securities Laws 93Uniform Gifts to Minors Act—Uniform Transfer to Minors Act 93Review Questions 95Answers to Review Questions 97Glossary 99Series 6 Final Examination 105Additional Practice Questions 1 119Answers to Additional Practice Questions 1 122Additional Practice Questions 2 123Answers to Additional Practice Questions 2 126Additional Practice Questions 3 127Answers to Additional Practice Questions 3 130Series 63 Test Preparation 131Introduction 133Important Terms 134Licensing/Registration Requirements 138Capital Requirements 139Recordkeeping 139Administrative Sanctions 140Registration of Securities 141Notification (Filing) 141Coordination 141Qualification 142Registration Provisions 142Denial of Registration 142Exempt Securities 142Exempt Transactions 143Fraudulent and Other Prohibited Practices 144Suitability 146Regulatory Oversight 146Criminal Penalties 147Civil Liabilities 147Judicial Review of Administrative Orders 147Scope of the Act 148Consent to Service of Process 148Additional Concepts—Uniform Securities Act 149Series 63 Practice Questions and Answer Explanations 151Practice Questions 1 151Practice Questions 1—Answer Explanations 158Practice Questions 2 160Practice Questions 2—Answer Explanations 167Practice Questions 3 169Practice Questions 3—Answer Explanations 176Practice Questions 4 178Practice Questions 4—Answer Explanations 182Index 183