Wiley Series 6 Exam Review 2013 Test Bank

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Wiley Series 6 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675495
Total Pages : 311 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 6 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 6 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-06-17 with total page 311 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Investment Company Products/Variable Contracts Limited Representative exam, or the Series 6, qualifies an individual who will function as a principal for the solicitation, purchase, and/or sale of redeemable securities of companies registered pursuant to the Investment Company Act of 1940; securities of closed-end companies registered pursuant to the Investment Company Act of 1940 during the period of original distribution only; and variable contracts and insurance premium funding programs and other contracts issued by an insurance company. This qualification allows transactions on the following: Mutual funds (closed-end funds on the initial offering only); variable annuities; variable life insurance; unit investment trusts; municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs), Coverdell Education Savings Accounts). A Series 6 Registered Representative may conduct business in mutual funds and variable contracts. Each book is accompanied by an online test bank with 201 questions, organized by chapter. The questions included in the book have been included in this online test bank. Topics Covered: Securities Markets, Investment Securities and Economic Factors Securities and Tax Regulation Marketing, Prospecting and Sales Presentation Evaluation of Customers Product Information; Investment Company Securities and Variable Contracts Opening and Servicing Customer Accounts Test: 100 multiple-choice questions; Two hours and fifteen minutes to complete exam; Candidate must answer 70% of the questions correctly to pass. There are no pre-requisites to take the Series 6 exam, but candidates must be sponsored by a FINRA member firm.

Wiley Series 65 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675487
Total Pages : 420 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 65 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 65 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-11-08 with total page 420 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Uniform Investment Advisor Law Examination (Series 65) is designed to qualify candidates as investment adviser representatives. Each book is accompanied by an online test bank with 268 questions, organized by chapter. The questions included in the book have been included in this online test bank Topics Covered: Ethics and legal guidelines Investment strategies Investment vehicles Economics and analysis Test: 140 multiple-choice questions, 3 hours to complete the exam. Pre-requisites: A candidate is not required to have any other professional qualifications prior to taking the Series 65 exam, but in order to conduct fee-based securities business, most states require that an agent successfully complete the Series 65, in addition to obtaining a Series 6, 7, or 62 registration.

Wiley Series 7 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675908
Total Pages : 533 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 7 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 7 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-06-18 with total page 533 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 7 Exam! The General Securities Representative Examination (Series 7) is an entry-level exam that qualifies individuals for registration with all self-regulatory organizations to trade, promote, and sell all forms of general securities. This intense six-hour test is the must-pass exam for aspiring financial professionals. The exam consists of 250 questions about everything from stocks and stock markets, government securities, municipal and corporate bonds, and options to rules for acquiring customers and handling their accounts, general economic theory, and the rules and regulations of the Securities and Exchange Commission. Created by the experts at The Securities Institute of America, Inc., Wiley Series 7 Exam Review 2013 arms you with what you need to score high on the test and pass the Series 7 Exam. Designed to let you build and fine-tune your knowledge of all areas covered and guarantee that you're prepared mentally and strategically to take the test, it provides: Hundreds of examples 542 practice questions covering each subject area 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 7 Exam Review 2013 is your ticket to passing the test with flying colors—on the first try—and becoming a registered General Securities Representative. Visit www.wileysecuritieslicensing.com 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.

Wiley Series 24 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675800
Total Pages : 408 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 24 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 24 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-07-16 with total page 408 pages. Available in PDF, EPUB and Kindle. Book excerpt: The FINRA General Securities Principal Qualification Examination (Series 24) is designed to test a candidate’s knowledge of the rules and statutory provisions applicable to the management of a general securities broker-dealer. It qualifies a principal to supervise and manage a firm and its agents, conducting a general securities business. Each book is accompanied by an online test bank with 145 questions, organized by chapter. The questions included in the book have been included in this online test bank Topics Covered: Supervision of Investment Banking, Underwriting & Research Supervision of Trading and Market Making Supervision of Brokerage Office Operations Sales Supervision & General Supervision of Employees Compliance with Financial Responsibility Rules Test: 150 questions; three hours and 30 minutes; candidate must answer 70% of questions correctly to pass. Pre-requisites: A general securities principal must have passed the Series 62 or Series 7 exam prior to taking the Series 24 exam. All candidates must be sponsored by a FINRA member firm to take the series 24 exam.

Wiley Series 9 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675681
Total Pages : 206 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 9 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 9 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-09-10 with total page 206 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 9 Exam! Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise a firm’s sales activities in corporate, municipal, and option securities; investment company products; variable contracts; and direct participation programs. The exam covers the full range of topics related to options regulation. All candidates must have passed the Series 7 prior to taking the Series 9. Created by the experts at The Securities Institute of America, Inc., Wiley Series 9 Exam Review 2013 arms you with everything you need to pass this ninety-minute, 55-question test. Designedto help you build and fine-tune your knowledge of all areas covered in the exam and to guaranteethat 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 9 Exam Review 2013 is your ticket to passing the Series 9 test on the first try—with flying colors! Visit www.wileysecuritieslicensing.com 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.

Wiley Series 66 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675630
Total Pages : 248 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 66 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 66 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-11-08 with total page 248 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Uniform Combined State Law Examination (Series 66) is designed to qualify candidates as both securities agents and investment adviser representatives. Each book is accompanied by an online test bank with 113 questions, organized by chapter. The questions included in the book have been included in this online test bank Topics Covered: Economic Factors and Business Information Client Investment Recommendations and Strategies Laws, Regulations, and Guidelines, including Prohibition on Unethical Business Practices Test: 100 multiple choice questions; 2 hours and 30 minutes testing time; candidate must answer 70% of questions correctly to pass. Pre-requisites: The Series 7 is a co-requisite exam that needs to be successfully completed in addition to the Series 66 exam before a candidate can register with a state.

Wiley Series 63 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675592
Total Pages : 180 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 63 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 63 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-07-09 with total page 180 pages. Available in PDF, EPUB and Kindle. Book excerpt: Uniform Securities Exam (Series 63) is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act. Topics Covered: State Securities Acts and Related Rules Ethical Practices and Fiduciary Obligations Test: 65 multiple-choice questions, 5 of which are experimental. Candidate must correctly answer at least 43 of the 60 scored questions. Each book is accompanied by an online test bank with 127 questions, organized by chapter. The questions included in the book have been included in this online test bank Pre-requisites: In order to conduct securities business, many states require that an agent successfully complete the Series 63, in addition to obtaining a Series 6, 7, or 62 registration, but a candidate is not required to have any other professional qualifications prior to taking the Series 63 exam.

Wiley Series 62 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675185
Total Pages : 411 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 62 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 62 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-08-02 with total page 411 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 2013 arms you with everything you need to pass this challenging 120-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 2013 is your ticket to passing the Series 62 test on the first try—with flying colors! Visit www.wileysecuritieslicensing.com 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.

Wiley Series 10 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675649
Total Pages : 331 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 10 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 10 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-09-10 with total page 331 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 10 Exam! Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise sales activities in corporate, municipal, and option securities; investment company products; variable contracts; and direct participation programs. The exam covers hiring, qualification, and continuing education; supervision of accounts and sales activities; conduct of associated persons; recordkeeping requirements; and municipal securities regulation. All candidates must have passed the Series 7 Exam before taking the Series 10. Created by the experts at The Securities Institute of America, Inc., Wiley Series 10 Exam Review 2013 arms you with everything you need to pass this four-hour, 145-question test. Designed tohelp you build and fine-tune your knowledge of all areas covered in the exam and to guarantee thatyou’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 10 Exam Review 2013 is your ticket to passing the Series 10 test on the first try—with flying colors! Visit www.wileysecuritieslicensing.com 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.

Wiley Series 26 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118675797
Total Pages : 302 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 26 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 26 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-09-03 with total page 302 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 2013 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 toguarantee 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 2013 is your ticket to passing the Series 26 test on the first try—with flying colors! Visit www.wileysecuritieslicensing.com 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.

Wiley Series 99 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118676009
Total Pages : 400 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 99 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 99 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-08-16 with total page 400 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 2013 arms you with everything you need to pass this challenging 100-question test. Designed tohelp you build and fine-tune your knowledge of all areas covered in the exam and to guarantee thatyou’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 2013 is your ticket to passing the Series 99 test on the first try—with flying colors! Visit www.wileysecuritieslicensing.com 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.

Wiley Series 55 Exam Review 2013 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118677110
Total Pages : 217 pages
Book Rating : 4.1/5 (186 download)

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Book Synopsis Wiley Series 55 Exam Review 2013 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 55 Exam Review 2013 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-08-20 with total page 217 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 55 Exam! Passing the Equity Trader Qualification Exam (Series 55) qualifies an individual to trade equity and convertible debt securities on a principal or agency basis, after having passed either the Series 62 or Series 7 Exam. Topics covered in the test include NASDAQ and over-the-counter securities, quotation and market maker requirements, regulation of the national market system, trading and market halts, prearranged and third-party trades, anticompetitive trading practices, transactions in accounts, trade reporting requirements, insider trading regulations, and more. Created by the experts at The Securities Institute of America, Inc., Wiley Series 55 Exam Review 2013 arms you with everything you need to pass this challenging 100-question multiple-choicetest. 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 55 Exam Review 2013 is your ticket to passing the Series 55 test on the first try—with flying colors! Visit www.wileysecuritieslicensing.com 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.

Wiley Series 4 Exam Review 2013 + Test Bank

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)

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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.

Wiley Series 6 Exam Review 2014 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118844599
Total Pages : 297 pages
Book Rating : 4.1/5 (188 download)

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Book Synopsis Wiley Series 6 Exam Review 2014 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 6 Exam Review 2014 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-12-03 with total page 297 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 2014 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 2014 is your ticket to passing the Series 6 test on the first try—with flying colors!

Wiley Series 63 Exam Review 2014 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118844521
Total Pages : 182 pages
Book Rating : 4.1/5 (188 download)

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Book Synopsis Wiley Series 63 Exam Review 2014 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 63 Exam Review 2014 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-11-22 with total page 182 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 63 Exam! Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state. Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2014 arms you with everything you need to pass this challenging 60-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 63 Exam Review 2014 is your ticket to passing the Series 63 test on the first try—with flying colors!

Wiley Series 65 Exam Review 2014 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118844548
Total Pages : 419 pages
Book Rating : 4.1/5 (188 download)

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Book Synopsis Wiley Series 65 Exam Review 2014 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 65 Exam Review 2014 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-12-04 with total page 419 pages. Available in PDF, EPUB and Kindle. Book excerpt: The go-to guide to acing the Series 65 Exam! Consisting of 130 multiple-choice questions in the areas of ethics and legal guidelines, investment strategies, investment vehicles, and economics and analysis, the Uniform Investment Adviser Law Examination (Series 65) is designed to qualify candidates as investment adviser representatives. An indispensable resource for anyone preparing to take this tough three-hour exam, Wiley Series 65 Exam Review 2014 was created by the experts at The Securities Institute of America, Inc. It arms you with what you need to score high and pass the Series 65 Exam on your first try. 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 features: 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 65 Exam Review 2014 is your ticket to passing the Uniform Investment Adviser Law Examination—with flying colors!

Wiley Series 7 Exam Review 2014 + Test Bank

Author : The Securities Institute of America, Inc.
Publisher : John Wiley & Sons
ISBN 13 : 1118844645
Total Pages : 533 pages
Book Rating : 4.1/5 (188 download)

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Book Synopsis Wiley Series 7 Exam Review 2014 + Test Bank by : The Securities Institute of America, Inc.

Download or read book Wiley Series 7 Exam Review 2014 + Test Bank written by The Securities Institute of America, Inc. and published by John Wiley & Sons. This book was released on 2013-12-03 with total page 533 pages. Available in PDF, EPUB and Kindle. Book excerpt: The most comprehensive guide to the Series 7 exam in the marketplace includes a self-directed study guide with all the most essential information to becoming a stockbroker. Areas covered include: Stocks, Debt Securities, Investment Banking, Securities Markets, Taxes, Securities Analysis, Self-Regulatory Organizations (SRO’s), Mutual Funds and Investment Companies, Annuities, Margin, Options, Money Market Instruments, Direct Participation Programs and Municipal Securities. There is no prerequisite exam for the FINRA Series 7, however, test takers will be required to take the Series 63 or Series 66 as co-requisite exams. The Series 7 exam is made up of 260 multiple-choice questions of which 10 are experimental. Each student will be given a total of 6 hours for the exam (3 hours for each half). A grade of 72 is considered passing. This book includes multiple practice exams to help test takers improve their scores. The General Securities Representative Examination (Series 7) is an entry-level examination that qualifies the individual for registration with all self-regulatory organizations to trade, promote, and sell: Public offerings and/or private placements of corporate securities (stocks and bonds) rights warrants mutual funds money market funds unit investment trusts REITS asset-backed securities mortgage-backed securities options options on mortgage-backed securities municipal securities government securities repos and certificates of accrual on government securities direct participation programs securities traders venture capital ETFs hedge funds