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Wiley Finra Series 4 Exam Review 2017
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Book Synopsis Wiley FINRA Series 4 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 4 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-08 with total page 328 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 4 Exam! The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm's options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Options Investment Strategies; Supervision of Sales Activities and Trading Practices; Supervision of Employees, Business Conduct; and Recordkeeping and Reporting Requirements. Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2017 arms you with what you need to score high on the test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 4 Exam Review 2017 is your ticket to passing the Series 4 test on the first try—with flying colors!
Book Synopsis Wiley Series 4 Exam Review 2016 + Test Bank by : Securities Institute of America
Download or read book Wiley Series 4 Exam Review 2016 + Test Bank written by Securities Institute of America and published by John Wiley & Sons. This book was released on 2015-11-16 with total page 317 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 4 Exam! The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm's options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Options Investment Strategies; Supervision of Sales Activities and Trading Practices; Supervision of Employees, Business Conduct; and Recordkeeping and Reporting Requirements. Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2016 arms you with what you need to score high on the test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 4 Exam Review 2016 is your ticket to passing the Series 4 test on the first try—with flying colors!
Book Synopsis Wiley FINRA Series 24 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 24 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-06 with total page 530 pages. Available in PDF, EPUB and Kindle. Book excerpt: Records Required to Be Maintained for Three Years -- Records Required to Be Maintained for Six Years -- Records Required to Be Maintained for the Life of the Firm -- Other Record Retention Requirements -- Requirement to Prepare and Maintain Records Under SEC 17a-3 and 17a-4 -- Financial Requirements -- Aggregate Indebtedness -- Haircuts -- Box Counts -- Missing and Lost Securities -- The Customer Protection Rule -- The Early Warning Rule -- FINRA Financial Requirements -- Subordinated Loans -- Temporary Subordination Agreements -- Calculating Net Capital -- Fidelity Bonds -- Pretest -- Chapter 3 Issuing Corporate Securities -- The Prospectus -- The Final Prospectus -- Free Writing Prospectus -- Providing the Prospectus to Aftermarket Purchasers -- SEC Disclaimer -- Misrepresentations -- Tombstone Ads -- Free Riding and Withholding/FINRA Rule 5130 -- Underwriting Corporate Securities -- Types of Underwriting Commitments -- Firm Commitment -- Best Efforts -- Mini-Maxi -- All or None (AON) -- Standby -- Types of Offerings -- Initial Public Offering (IPO)/New Issue -- Subsequent Primary/Additional Issues -- Primary Offering vs. Secondary Offering -- Awarding the Issue -- The Underwriting Syndicate -- Selling Group -- Underwriter's Compensation -- Management Fee -- Underwriter's Fee -- Selling Concession -- Underwriting Spread -- Factors That Determine the Size of the Underwriting Spread -- Review of Underwriting Agreements by FINRA -- Underwriter's Compensation -- Unreasonable Compensation -- Offering of Securities by FINRA Members -- Exempt Securities -- Exempt Transactions -- Private Placements/Regulation D Offerings -- Rule 144 -- Private Investment in a Public Equity (PIPE) -- REVERSE MERGER -- Regulation S Offerings -- Regulation A Offerings -- Crowdfunding -- Rule 145 -- Rule 147 Intrastate Offering -- Rule 137 Nonparticipants
Book Synopsis Wiley FINRA Series 26 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 26 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-02-24 with total page 347 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 26 Exam! Passing the Investment Company Products/Variable Contracts Limited Principal Qualification Exam (Series 26) qualifies an individual to operate as a principal responsible for supervising and managing a firm and its agents conducting business in open-end mutual funds, variable annuities, and life insurance. The exam covers hiring and qualification, training of representatives, supervision, sales practices, and business processing and recordkeeping rules. A principal must have passed the Series 6 or Series 7 Exams prior to taking the Series 26. Created by the experts at The Securities Institute of America, Inc., Wiley Series 26 Exam Review 2017 arms you with everything you need to pass this long 110-question multiple-choice test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 26 Exam Review 2017 is your ticket to passing the Series 26 test on the first try—with flying colors!
Book Synopsis Wiley FINRA Series 57 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 57 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-08 with total page 617 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 57 Exam! Passing The Securities Trader Examination (Series 57) qualifies an individual to engage in NASDAQ and OTC Equity trading and to act as a proprietary trader. The exam covers Market Overview and Products, Engaging in Professional Conduct and Adhering to Regulatory Requirements, Trading Activities, Maintaining Books and Records and Trade Reporting. There are no prerequisites to taking the series 57 exam other than being sponsored by a FINRA member firm. Created by the experts at The Securities Institute of America, Inc., Wiley Series 57 Exam Review 2017 arms you with everything you need to pass this challenging 125-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 57 Exam Review 2017 is your ticket to passing the Series 57 test on the first try—with flying colors! Visit www.efficientlearning.com/finra for more information. The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year. Our securities training options include: Onsite classes Private tutoring Classroom training Interactive online video training classes State-of-the-art exam preparation software Printed textbooks Real-time tracking and reporting for managers and training directors As a result, you can choose a securities training solution that matches your skill level, learning style, and schedule. Regardless of the format you choose, you can be sure that our securities training courses are relevant, tested, and designed to help you succeed. It is the experience of our instructors and the quality of our materials that make our courses requested by name at some of the largest financial services firms in the world. To contact The Securities Institute of America, visit us on the web at www.SecuritiesCE.com or call 877-218-1776.
Book Synopsis Wiley FINRA Series 6 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 6 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-14 with total page 381 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 6 Exam! Passing the Series 6 Exam qualifies an individual to function as an agent of a broker dealer and allows the limited representative to transact business in mutual funds (closed-end funds on the initial offering only), unit investment trusts, variable annuities, and variable life insurance products. In addition to passing the Series 6 Exam, an agent may be required to pass a state life insurance exam to transact business in variable contracts. Created by the experts at The Securities Institute of America, Inc., Wiley Series 6 Exam Review 2017 arms you with what you need to score high on this tough 100-question test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 6 Exam Review 2017 is your ticket to passing the Series 6 test on the first try—with flying colors!
Book Synopsis Wiley Series 4 Securities Licensing Exam Review 2019 + Test Bank by : Wiley
Download or read book Wiley Series 4 Securities Licensing Exam Review 2019 + Test Bank written by Wiley and published by John Wiley & Sons. This book was released on 2018-12-11 with total page 392 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 4 Exam! The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm's options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Options Investment Strategies; Supervision of Sales Activities and Trading Practices; Supervision of Employees, Business Conduct; and Recordkeeping and Reporting Requirements. Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2019 arms you with what you need to score high on the test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 4 Exam Review 2019 is your ticket to passing the Series 4 test on the first try—with flying colors!
Book Synopsis Wiley FINRA Series 4 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 4 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-06 with total page 326 pages. Available in PDF, EPUB and Kindle. Book excerpt: Simplified Arbitration -- Larger Disputes -- Awards Under Arbitration -- Investor Information -- Violations and Complaints -- Resolution of Allegations -- Minor Rule Violation -- Firm Element Continuing Education -- Regulatory Element -- Circuit Breakers -- Limit up Limit down (LULD) -- Pretest -- Answer Keys -- Chapter 1: Option Basics -- Chapter 2: Option Strategies -- Chapter 3: Index, Interest Rate, and Currency Options -- Chapter 4: The Options MarketPlace -- Chapter 5: Option Taxation and Margin Requirements -- Chapter 6: Option Compliance and Account Supervision -- Chapter 7: Securities Industry Rules and Regulations -- Glossary of Exam Terms -- Index -- Advert -- Access Code -- EULA
Book Synopsis Wiley FINRA Series 99 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 99 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-08 with total page 428 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 99 Exam! Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level, standard operations functions, investor protection and market integrity regulations, identifying and escalating regulatory red-flag issues to the appropriate person in a firm, and professional conduct and ethical standards. There are no prerequisites for the Series 99 Exam, but all candidates must be sponsored by a FINRA member firm. Created by the experts at The Securities Institute of America, Inc., Wiley Series 99 Exam Review 2017 arms you with everything you need to pass this challenging 100-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 99 Exam Review 2017 is your ticket to passing the Series 99 test on the first try—with flying colors!
Author :The Securities Institute of America, Inc. Publisher :John Wiley & Sons ISBN 13 :1118844637 Total Pages :312 pages Book Rating :4.1/5 (188 download)
Book Synopsis Wiley Series 4 Exam Review 2014 + Test Bank by : The Securities Institute of America, Inc.
Download or read book Wiley Series 4 Exam Review 2014 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-11-26 with total page 312 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 4 Exam! The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm's options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Options Investment Strategies; Supervision of Sales Activities and Trading Practices; Supervision of Employees, Business Conduct; and Recordkeeping and Reporting Requirements. Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2014 arms you with what you need to score high on the test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 4 Exam Review 2014 is your ticket to passing the Series 4 test on the first try—with flying colors!
Author :The Securities Institute of America, Inc. Publisher :John Wiley & Sons ISBN 13 :1118857070 Total Pages :314 pages Book Rating :4.1/5 (188 download)
Book Synopsis Wiley Series 4 Exam Review 2015 + Test Bank by : The Securities Institute of America, Inc.
Download or read book Wiley Series 4 Exam Review 2015 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2014-10-21 with total page 314 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 4 Exam! The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm's options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to options on government and mortgage-backed securities. The subject areas covered in the exam are: Options Investment Strategies; Supervision of Sales Activities and Trading Practices; Supervision of Employees, Business Conduct; and Recordkeeping and Reporting Requirements. Created by the experts at the Securities Institute of America, Inc., Wiley Series 4 Exam Review 2015 arms you with what you need to score high on the test. Designed to let you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 4 Exam Review 2015 is your ticket to passing the Series 4 test on the first try—with flying colors!
Book Synopsis Wiley FINRA Series 7 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 7 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-06 with total page 626 pages. Available in PDF, EPUB and Kindle. Book excerpt: Tax Equivalent Yield -- Purchasing a Municipal Bond Issued in the State in which the Investor Resides -- Triple Tax Free -- Original Issue Discount (OID) and Secondary Market Discounts -- Amortization of a Municipal Bond's Premium -- Bond Swaps -- Analyzing Municipal Bonds -- Analyzing General Obligation Bonds -- The Debt Statement -- Self-Supporting Debt -- Net Direct Debt -- Net Total Debt -- Community Factors -- Sources of Tax Revenue -- Determining Property Taxes -- Important Financial Ratios for General Obligation Bonds -- Analyzing Revenue Bonds -- Types of Revenue Pledge -- Municipal Fund Securities -- Municipal Securities Rulemaking Board (MSRB) -- Pretest -- Chapter 5 The Money Market -- Money Market Instruments -- Corporate Money Market Instruments -- Bankers' Acceptances -- Negotiable Certificates of Deposit -- Commercial Paper -- Federal Fund Loans -- Repurchase Agreements -- Reverse Repurchase Agreement -- Fixed vs. Open Repurchase Agreements -- Government Money Market Instruments -- Municipal Money Market Instruments -- International Money Market Instruments -- Interest Rates -- The Discount Rate -- Federal Funds Rate -- Broker Call Loan Rate -- Prime Rate -- London Interbank Offered Rate/LIBOR -- Pretest -- Chapter 6 Economic Fundamentals -- Gross Domestic Product (GDP) -- Expansion -- Peak -- Contraction -- Trough -- Recession -- Depression -- Economic Indicators -- Leading Indicators -- Coincident Indicators -- Lagging Indicators -- Schools of Economic Thought -- Clasical Economics -- Keynesian Economics -- The Monetarists -- Economic Policy -- Tools of The Federal Reserve Board -- Reserve Requirement -- Changing the Discount Rate -- Federal Open Market Committee -- Money Supply -- Disintermediation -- Moral Suasion -- Fiscal Policy -- Consumer Price Index (CPI) -- Inflation/Deflation -- Real GDP
Author :The Securities Institute of America, Inc. Publisher :John Wiley & Sons ISBN 13 :1118675827 Total Pages :313 pages Book Rating :4.1/5 (186 download)
Book Synopsis Wiley Series 4 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.
Download or read book Wiley Series 4 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-07-03 with total page 313 pages. Available in PDF, EPUB and Kindle. Book excerpt: Registered Options Principal Qualification Examination The Registered Options Principal Qualification Examination (Series 4) is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the Series 4 exam, a registered person may supervise a FINRA member firm's option business and is qualified to oversee trades on the following instruments: Equity options; foreign currency options; interest rate options; index options; options on government and mortgage-backed securities. Each book is accompanied by an online test bank with 68 questions organized by chapter. The questions included in the book have been included in this online test bank. Topics Covered: Options Investment Strategies Supervision of Sales Activities and Trading Practices Supervision of Employees, Business Conduct, and Recordkeeping and Reporting Requirements Test: 125 multiple choice questions; 3 hours testing time. A candidate must answer 70% of the questions correctly to pass the Series 4 exam. Pre-requisites: The Series 7, 17, 37, 38, 42 or 62 can be used to meet the prerequisite of the Series 4 exam. All candidates must be sponsored by a FINRA member firm to take the series 4 exam.
Book Synopsis Wiley FINRA Series 66 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 66 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-08 with total page 318 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 66 Exam! Passing the Uniform Combined State Law Examination (Series 66) qualifies an individual to represent both a broker-dealer and an investment adviser. It covers such topics as client investment strategies and ethical business practices. Taken as a corequisite with the Series 7 Exam, candidates must complete the Series 66 Exam in order to register as an agent with a state securities administrator. Created by the experts at The Securities Institute of America, Inc., Wiley Series 66 Exam Review 2017 arms you with what you need to score high on this tough 100-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 66 Exam Review 2017 is your ticket to passing this difficult test on the first try—with flying colors!
Book Synopsis Wiley FINRA Series 6 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 6 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-06 with total page 386 pages. Available in PDF, EPUB and Kindle. Book excerpt: This book is designed to let you build and fine-tune your knowledge of all areas covered in the exam. It provides dozens of examples, assorted practice questions for each subject area covered in the exam, test-taking tips and strategies, and helpful hints on how to study for the test, manage stress, and stay focused.
Book Synopsis Wiley FINRA Series 62 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 62 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-08 with total page 486 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 62 Exam! Passing the Corporate Securities Limited Representative Exam (Series 62) qualifies an individual as a representative for the sale of public offerings and/or private placements of corporate securities, rights, warrants, closed-end funds, money market funds, REITs, asset-backed securities, mortgage-backed securities, and more. Topics covered on the exam include characteristics of securities and investments, the market for corporate securities, evaluation of securities and investments, and handling customer accounts and securities industry regulation. Created by the experts at The Securities Institute of America, Inc., Wiley Series 62 Exam Review 2017 arms you with everything you need to pass this challenging 115-question multiple-choice test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides: Dozens of examples Assorted practice questions for each subject area covered in the exam Priceless test-taking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 62 Exam Review 2017 is your ticket to passing the Series 62 test on the first try—with flying colors!
Book Synopsis Wiley FINRA Series 57 Exam Review 2017 by : Wiley
Download or read book Wiley FINRA Series 57 Exam Review 2017 written by Wiley and published by John Wiley & Sons. This book was released on 2017-03-06 with total page 626 pages. Available in PDF, EPUB and Kindle. Book excerpt: Open-End vs. Closed-End Funds
