Wiley Finra Series 4 Exam Review 2017

Wiley Finra Series 4 Exam Review 2017 Book in PDF, ePub and Kindle version is available to download in english. Read online anytime anywhere directly from your device. Click on the download button below to get a free pdf file of Wiley Finra Series 4 Exam Review 2017 book. This book definitely worth reading, it is an incredibly well-written.

Wiley FINRA Series 4 Exam Review 2017

Wiley
Wiley FINRA Series 4 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 328 pages
File Size : 54,9 Mb
Release : 2017-03-08
Category : Business & Economics
ISBN : 9781119400004

Get Book

Wiley FINRA Series 4 Exam Review 2017 by Wiley Pdf

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!

Wiley FINRA Series 4 Exam Review 2017

Wiley
Wiley FINRA Series 4 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 326 pages
File Size : 42,7 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379805

Get Book

Wiley FINRA Series 4 Exam Review 2017 by Wiley Pdf

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

Wiley FINRA Series 6 Exam Review 2017

Wiley
Wiley FINRA Series 6 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 386 pages
File Size : 49,9 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379799

Get Book

Wiley FINRA Series 6 Exam Review 2017 by Wiley Pdf

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.

Wiley FINRA Series 7 Exam Review 2017

Wiley
Wiley FINRA Series 7 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 626 pages
File Size : 46,6 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379751

Get Book

Wiley FINRA Series 7 Exam Review 2017 by Wiley Pdf

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

Wiley FINRA Series 24 Exam Review 2017

Wiley
Wiley FINRA Series 24 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 530 pages
File Size : 50,7 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379782

Get Book

Wiley FINRA Series 24 Exam Review 2017 by Wiley Pdf

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

Wiley FINRA Series 63 Exam Review 2017

Securities Institute of America, Inc.,Wiley
Wiley FINRA Series 63 Exam Review 2017 Book PDF

Author : Securities Institute of America, Inc.,Wiley
Publisher : John Wiley & Sons
Page : 218 pages
File Size : 45,5 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379843

Get Book

Wiley FINRA Series 63 Exam Review 2017 by Securities Institute of America, Inc.,Wiley Pdf

The go-to guide to acing the Series 63 Exam! Passing The Uniform Securities 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 2017 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 2017 is your ticket to passing the Series 63 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.

Wiley FINRA Series 26 Exam Review 2017

Securities Institute of America, Inc.,Wiley
Wiley FINRA Series 26 Exam Review 2017 Book PDF

Author : Securities Institute of America, Inc.,Wiley
Publisher : John Wiley & Sons
Page : 350 pages
File Size : 41,7 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379850

Get Book

Wiley FINRA Series 26 Exam Review 2017 by Securities Institute of America, Inc.,Wiley Pdf

Broker Dealers on the Premises of Other Financial Institutions

Wiley FINRA Series 65 Exam Review 2017

Wiley
Wiley FINRA Series 65 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 518 pages
File Size : 49,9 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379744

Get Book

Wiley FINRA Series 65 Exam Review 2017 by Wiley Pdf

Super Display Book (SDBK)

Wiley FINRA Series 57 Exam Review 2017

Wiley
Wiley FINRA Series 57 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 626 pages
File Size : 50,9 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379812

Get Book

Wiley FINRA Series 57 Exam Review 2017 by Wiley Pdf

Open-End vs. Closed-End Funds

Wiley FINRA Series 9 Exam Review 2017

Wiley
Wiley FINRA Series 9 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 218 pages
File Size : 49,7 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379775

Get Book

Wiley FINRA Series 9 Exam Review 2017 by Wiley Pdf

Exercising a Call -- Exercising a Put -- Protective Puts -- Covered Calls -- Option Contract Margin Requirements -- Margin Requirements When Exercising a Call -- Margin Requirements When Exercising a Put -- Margin Requirements When Writing a Call -- Margin Requirements When Writing a Put -- Margin Requirements When Establishing a Spread -- Pretest -- Chapter 6 Option Compliance and Account Supervision -- Duties of the ROSFP -- Option Account Compliance -- Outside Accounts for Employees -- Option Agreements -- Option Account Supervision -- Large Option Position Reporting Requirements -- Customer Confirmations and Account Statements -- Customer Complaints -- Communications with the Public -- FINRA Rule 2210 Communications with the Public -- Retail Communication -- Institutional Communications -- Correspondence Communications -- Pretest -- Answer Keys -- Glossary of Exam Terms -- Index -- Advert -- Access Code -- EULA

Wiley FINRA Series 10 Exam Review 2017

Wiley
Wiley FINRA Series 10 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 362 pages
File Size : 54,5 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379867

Get Book

Wiley FINRA Series 10 Exam Review 2017 by Wiley Pdf

Wiley Series 10 Exam Review 2017 -- Contents -- About the Series 10 Exam -- About This Book -- About the Test Bank -- About the Securities Institute of America -- Chapter 1 Supervision of Brokerage Office Personnel and Procedures -- Hiring New Employees -- Resignation of a Registered Representative -- Registration Exemptions -- Foreign Broker Dealers -- Compensation Paid to Unregistered Persons -- Retiring Representatives/Continuing Commissions -- Persons Ineligible to Register -- Disciplinary Actions Against a Registered Representative -- Termination for Cause -- Outside Employment -- Private Securities Transactions -- Gift Rule -- Communications with the Public -- FINRA Rule 2210 Communications with the Public -- Retail Communication -- Institutional Communications -- Correspondence -- Broker Dealer Websites -- Testimonials -- Free Services -- Sharing in a Customer's Account -- Borrowing and Lending Money -- Order Tickets -- Executing an Order -- Order Room/Wire Room -- Purchase and Sales Department -- Margin Department -- Cashiering Department -- Becoming a Stockholder -- Trade Date -- Settlement Date -- Payment Date -- Violation -- Clearly Erroneous Reports -- Execution Errors -- As/Of Trades -- Corporate and Municipal Securities Settlement Options -- Government Securities Settlement Options -- Accrued Interest -- Calculating Accrued Interest -- Close Outs -- Customer Confirmations -- Rules for Good Delivery -- Delivery of Round Lots -- Delivery of Bond Certificates -- Rejection of Delivery -- Reclamation -- Marking to the Market -- Customer Account Statements -- Carrying of Customer Accounts -- Dividend Distribution -- Declaration Date -- Ex Dividend Date -- Record Date -- Payment Date -- Stock Price and the Ex Dividend Date -- Dividend Disbursement Process -- Due Bills -- Proxies -- Box Counts -- Missing and Lost Securities

Wiley FINRA Series 62 Exam Review 2017

Wiley
Wiley FINRA Series 62 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 494 pages
File Size : 53,7 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379898

Get Book

Wiley FINRA Series 62 Exam Review 2017 by Wiley Pdf

Corporate Dividend Exclusion -- Alternative Minimum Tax (AMT) -- Taxes on Foreign Securities -- Pretest -- Chapter 14: Securities Industry Rules and Regulations -- The Securities Exchange Act of 1934 -- The National Association of Securities Dealers (NASD) -- Registration of Agents/Associated Persons -- Securities Investor Protection Corporation Act of 1970 (SIPC) -- The Securities Acts Amendments of 1975 -- The Insider Trading and Securities Fraud Enforcement Act of 1988 -- Telemarketing Rules -- The Penny Stock Cold Call Rule -- The Role of the Principal -- Currency Transactions -- The Patriot Act -- Identity Theft -- The Uniform Securities Act (USA) -- Sarbanes-Oxley Act -- SEC Regulation S-K -- SEC Regulation M-A -- FINRA Rule 5150 Fairness Opinion -- SEC Regulation S-X -- Regulation FD Fair Disclosure -- Pretest -- Answer Keys -- Chapter 1: Equity Securities -- Chapter 2: Debt Securities -- Chapter 3: Government Securities -- Chapter 4: The Money Market -- Chapter 5: Economic Fundamentals -- Chapter 6: Issuing Corporate Securities -- Chapter 7: Trading Securities -- Chapter 8: Customer Accounts -- Chapter 9: Margin Accounts -- Chapter 10: Retirement Plans -- Chapter 11: Brokerage Office Procedure -- Chapter 12: Fundamental and Technical Analysis -- Chapter 13: Customer Recommendations, Professional Conduct, and Taxation -- Chapter 14: Securities Industry Rules and Regulations -- Glossary of Exam Terms -- Index -- Advert -- Access Code -- EULA

Wiley FINRA Series 66 Exam Review 2017

Wiley
Wiley FINRA Series 66 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 326 pages
File Size : 48,8 Mb
Release : 2017-03-14
Category : Business & Economics
ISBN : 9781119379911

Get Book

Wiley FINRA Series 66 Exam Review 2017 by Wiley Pdf

"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." --

Wiley FINRA Series 99 Exam Review 2017

Wiley
Wiley FINRA Series 99 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 434 pages
File Size : 42,9 Mb
Release : 2017-03-06
Category : Business & Economics
ISBN : 9781119379874

Get Book

Wiley FINRA Series 99 Exam Review 2017 by Wiley Pdf

Limited Partnership Analysis -- Tax Deductions vs. Tax Credits -- Other Tax Considerations -- Dissolving a Partnership -- Pretest -- Chapter 2 Brokerage Office Procedures and Back-Office Operations -- Hiring New Employees -- Resignation of a Registered Representative -- Registration Exemptions -- Persons Ineligible to Register -- Disciplinary Actions Against a Registered Representative -- Termination for Cause -- Outside Employment -- Private Securities Transactions -- Gift Rule -- Sharing in a Customer's Account -- Borrowing and Lending Money -- Order Tickets -- Executing an Order -- Sales Department -- Order Room/Wire Room -- Purchase and Sales Department -- Margin Department -- Cashiering Department -- Custody Department -- Corporate Action Department -- Becoming a Stockholder -- Trade Date -- Settlement Date -- Payment Date -- Violation -- Clearly Erroneous Reports -- Execution Errors -- Unconfirmed Trades -- Corporate and Municipal Securities Settlement Options -- Cash -- Next Day -- Seller's Option -- Buyer's Option -- RVP/DVP/COD -- When-Issued Securities -- Government Securities Settlement Options -- Accrued Interest -- Calculating Accrued Interest -- Close Outs -- Customer Confirmations -- Rules for Good Delivery -- Delivery of Round Lots -- Delivery of Bond Certificates -- Rejection of Delivery -- Reclamation -- Marking to the Market -- Customer Account Statements -- Dividend Distribution -- Declaration Date -- Ex-Dividend Date -- Record Date -- Payment Date -- Stock Price and the Ex-Dividend Date -- Dividend Disbursement Process -- Due Bills -- Proxies -- Operations Professionals Covered Persons -- Operational Red Flags -- Pretest -- Chapter 3 Record Keeping, Financial Requirements, and Clearing -- Blotters -- General Ledger -- Customer Accounts -- Suspense Account -- Subsidiary (Secondary) Records

Wiley FINRA Series 3 Exam Review 2017

Wiley
Wiley FINRA Series 3 Exam Review 2017 Book PDF

Author : Wiley
Publisher : John Wiley & Sons
Page : 225 pages
File Size : 49,7 Mb
Release : 2017-02-24
Category : Business & Economics
ISBN : 9781119399988

Get Book

Wiley FINRA Series 3 Exam Review 2017 by Wiley Pdf

The go-to guide for the Series 3, with practice, examples, strategies, and more Wiley Series 3 Exam Review 2017 + Test Bank is a comprehensive study guide for the FINRA Series 3 exam, which qualifies candidates to sell commodities or futures contracts. Created by the experts at The Securities Institute of America, Inc., this useful guide provides the information and practice you need to ace the exam. The book is designed to help you build and fine-tune your knowledge of each subject area covered, giving you the confidence you need to perform at your best. Work through review questions, study examples, and develop a strategy for the exam itself. You'll even find guidance toward effective studying methods that allow you to enter the exam fully mentally prepared. The National Commodities Futures Examination (Series 3) tests your knowledge of rules and statutes applicable to the markets. This intense two and a half hour test is a must for aspiring financial professionals, as passing means registration to conduct business in commodity futures and options. This book provides a valuable opportunity to test your knowledge and bring weak areas up to par, with complete coverage of exam topics. Review practice questions taken from each subject area covered by the exam Study hundreds of examples to clarify complex concepts and techniques Gain insight into the best strategies and tips for taking the Series 3 Develop an effective study plan to stay focused and keep stress to a minimum Although the exam is entry-level, the stakes are high and the subject matter is complex. Don't muddle through it alone and assume you're prepared – this guide helps you be sure. For the Series 3 candidate serious about success, Wiley Series 3 Exam Review 2017 is your ticket to passing with flying colors – the first time.