Wiley Series 65 Exam Review 2016 Test Bank the Uniform Investment Advisor Law Examination 4th Edition by Securities Institute of America ISBN 1119112397 9781119112396

Wiley Series 65 Exam Review 2016 Test Bank the Uniform Investment Advisor Law Examination  4th Edition by Securities Institute of America – Ebook PDF Instant Download/Delivery: 1119112397, 978-1119112396 

Full download Wiley Series 65 Exam Review 2016 Test Bank the Uniform Investment Advisor Law Examination  4th Edition after payment

 

Product details:

ISBN 10:      1119112397

ISBN 13: 978-1119112396

Author:      Securities Institute of America

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 2016 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 2016 is your ticket to passing the Uniform Investment Adviser Law Examination—with flying colors!

Wiley Series 65 Exam Review 2016 Test Bank the Uniform Investment Advisor Law Examination  4th  Table of contents:

• Equity Securities

  • Focuses on the basics of stocks, both common and preferred, including their characteristics, valuation methods, and risks. It also touches on special securities like warrants and ADRs, as well as investment vehicles like REITs and limited partnerships.

• Corporate and Municipal Debt Securities

  • Discusses corporate bonds, bond pricing, yield calculations, municipal bonds, tax considerations, and bond analysis.

• Government and Government Agency Issues

  • Covers U.S. government debt securities, including Treasury bills, notes, bonds, and government agency securities like GNMA and Fannie Mae bonds. It also explains CMOs and related interest rate issues.

• Investment Companies

  • Explains different types of investment companies, such as mutual funds (open-end and closed-end), their registration, sales charges, and distribution processes, along with various fund types (e.g., bond funds, alternative funds).

• Variable Annuities and Retirement Plans

  • Introduces annuities, focusing on variable annuities, their purchase options, taxation, and differences with mutual funds. Also covers retirement plans, IRAs, corporate plans, and pension rollovers.

• Fundamental and Technical Analysis

  • Explains methods of analyzing stocks and bonds, covering both fundamental analysis (e.g., balance sheets, income statements) and technical analysis (e.g., charting, market indicators).

• Economic Fundamentals

  • Discusses economic principles, GDP, inflation, recession, fiscal policies, tools of the Federal Reserve, and international monetary considerations.

• Recommendations, Professional Conduct, and Taxation

  • Covers the ethics and conduct required for investment advisers, tax considerations for different types of investments, including mutual funds, securities transactions, and tax-related strategies.

• Securities Industry Rules and Regulations

  • Focuses on key securities regulations and laws, such as the Securities Act of 1933, Securities Exchange Act of 1934, and rules from bodies like FINRA, including their impact on investment advisers, brokers, and investors.

• Trading Securities

  • Discusses the types of orders, exchanges, market makers, short sales, and over-the-counter (OTC) markets. It also explains the role of specialists and various market systems (e.g., Nasdaq).

• Options

  • Details the different types of options (calls, puts), option premiums, strategies (e.g., covered calls), and hedging using options. Also touches on futures and forwards, as well as options’ role in portfolio management.

• Definition of Terms

  • Provides definitions for key financial and investment terms, such as securities, broker-dealers, investment advisers, and various regulatory terms.

• Registration of Broker-Dealers, Investment Advisers, and Agents

  • Describes the registration process for financial professionals, including requirements, advertising, and sales literature. It also touches on regulations around private investment companies and hedge funds.

• Securities Registration, Exempt Securities, and Exempt Transactions

  • Explains the registration process for securities, exemptions, private placements, and Rule 144 (regarding resale of restricted securities).

• State Securities Administrator: The Uniform Securities Act

  • Discusses the role of state securities administrators, the Uniform Securities Act, and actions against violators, including penalties, investigations, and orders.

People also search for Wiley Series 65 Exam Review 2016 Test Bank the Uniform Investment Advisor Law Examination  4th :

wiley cma exam review 2022 pdf
series 65 exam study guide
kaplan series 65 11th edition pdf
quizlet series 65
6.1-6.2 review worksheet answers

Tags:

Securities Institute of America,Wiley,Series,Exam,Review,Test Bank,Uniform,Investment,Advisor Law,Examination 4th