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Wiley Series 6 Securities Licensing Exam Review 2019 plus Test Bank: The Investment Company and Variable Contracts Products Representative Examination [Mīkstie vāki]

  • Formāts: Paperback / softback, 384 pages, height x width x depth: 277x219x21 mm, weight: 880 g
  • Izdošanas datums: 18-Dec-2018
  • Izdevniecība: John Wiley & Sons Inc
  • ISBN-10: 1119552710
  • ISBN-13: 9781119552710
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Wiley Series 6 Securities Licensing Exam Review 2019 plus Test Bank: The Investment Company and Variable Contracts Products Representative ExaminationPalielināt
  • Formāts: Paperback / softback, 384 pages, height x width x depth: 277x219x21 mm, weight: 880 g
  • Izdošanas datums: 18-Dec-2018
  • Izdevniecība: John Wiley & Sons Inc
  • ISBN-10: 1119552710
  • ISBN-13: 9781119552710
Citas grāmatas par šo tēmu:
Permanent link: https://www.kriso.lv/db/9781119552710.html
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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 2019 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 2019 is your ticket to passing the Series 6 test on the first try—with flying colors!

About The Series 6 Exam xv
About This Book xix
About The Test Bank xxi
About The Securities Institute Of America xxiii
Chapter 1 Equity Securities 1(34)
What Is a Security?
1(1)
Equity = Stock
2(1)
Common Stock
2(10)
Preferred Stock
12(8)
Options
20(1)
Calls
20(1)
Puts
20(1)
Bullish vs. Bearish
21(1)
Characteristics of All Options
21(1)
Exercise Price
22(1)
Buyer vs. Seller
22(1)
Possible Outcomes for an Option
22(1)
Currency Risks
23(1)
Functions of the Custodian Bank Issuing ADRs
23(1)
Real Estate Investment Trusts (REITs)
23(1)
Issuing Corporate Securities
24(1)
Types of Underwriting Commitments
24(1)
Types of Offerings
25(1)
Awarding the Issue
26(1)
The Underwriting Syndicate
26(1)
Selling Group
26(1)
Securities Markets
27(1)
The Exchanges
28(1)
Over the Counter/Nasdaq
28(1)
Market Makers
29(1)
Third Market
29(1)
Fourth Market
29(1)
Broker vs. Dealer
29(2)
Pretest
31(4)
Chapter 2 Debt Securities 35(24)
Corporate Bonds
35(1)
Types of Bond Issuance
36(1)
Bond Certificate
37(1)
Bond Pricing
37(1)
Corporate Bond Pricing
38(1)
Bond Yields
38(3)
Bond Maturities
41(1)
Types of Corporate Bonds
42(3)
Converting Bonds into Common Stock
45(1)
Advantages of Issuing Convertible Bonds
46(1)
Disadvantages of Issuing Convertible Bonds
46(1)
Convertible Bonds and Stock Splits
46(1)
The Trust Indenture Act of 1939
47(1)
Bond Indenture
47(1)
Ratings Considerations
47(1)
Retiring Corporate Bonds
48(2)
Collateralized Mortgage Obligation (CMO)
50(1)
CMOs and Interest Rates
51(1)
Types of CMOs
51(2)
Private-Label CMOs
53(1)
Exchange-Traded Notes (ETNs)
53(2)
Pretest
55(4)
Chapter 3 Government And Municipal Securities 59(12)
Series EE Bonds
59(1)
Series HH Bonds
60(1)
Treasury Bills, Notes, and Bonds
60(1)
Treasury Bond and Note Pricing
61(1)
Treasury STRIPS
62(1)
Treasury Receipts
62(1)
Treasury Inflation-Protected Securities (TIPS)
63(1)
Agency Issues
63(1)
Government National Mortgage Association (GNMA)
63(1)
Federal National Mortgage Association (FNMA)
64(1)
Federal Home Loan Mortgage Corporation (FHLMC)
64(1)
Federal Farm Credit System (FFCS)
64(1)
Municipal Bonds
65(1)
Legal Opinion
66(1)
Municipal Bond Insurance
66(1)
Tax Equivalent Yield
67(1)
Purchasing a Municipal Bond Issued in the State in Which the Investor Resides
67(1)
Triple Tax-Free
68(1)
Capital Gains
68(1)
Pretest
69(2)
Chapter 4 The Money Market 71(8)
Money Market Instruments
71(1)
Corporate Money Market Instruments
71(2)
Government Money Market Instruments
73(1)
Municipal Money Market Instruments
74(1)
International Money Market Instruments
74(1)
Interest Rates
74(3)
Pretest
77(2)
Chapter 5 Economic Fundamentals 79(14)
Gross Domestic Product (GDP)
79(2)
Recession
81(1)
Depression
81(1)
Economic Indicators
81(2)
Economic Policy
83(1)
Tools of the Federal Reserve Board
83(3)
Fiscal Policy
86(1)
Consumer Price Index (CPI)
87(1)
Inflation/Deflation
87(1)
Real GDP
87(1)
International Monetary Considerations
88(1)
Pretest
89(4)
Chapter 6 Mutual Funds 93(42)
Investment Company Philosophy
93(1)
Types of Investment Companies
94(1)
Open-End vs. Closed-End Funds
95(1)
Diversified vs. Nondiversified
96(1)
Investment Company Registration
97(2)
Investment Company Components
99(2)
Mutual Fund Distribution
101(1)
Selling Group Member
101(1)
Distribution of No-Load Mutual Fund Shares
102(1)
Distribution of Mutual Fund Shares
102(1)
Mutual Fund Prospectus
102(2)
Characteristics of Open-End Mutual Fund Shares
104(1)
Mutual Fund Investment Objectives
105(1)
Other Types of Funds
106(1)
Bond Funds
107(2)
Valuing Mutual Fund Shares
109(1)
Changes in the NAV
110(1)
Sales Charges
111(2)
12B-1 Fees
113(1)
Calculating a Mutual Fund' s Sales Charge Percentage
113(1)
Finding the Public Offering Price
114(1)
Sales Charge Reductions
114(1)
Breakpoint Schedule
115(1)
Letter of Intent
115(1)
Backdating a Letter of Intent
116(1)
Breakpoint Sales
116(1)
Rights of Accumulation
116(1)
Automatic Reinvestment of Distributions
117(1)
Other Mutual Fund Features
117(4)
Cost Base of Multiple Purchases
121(1)
Purchasing Mutual Fund Shares
122(3)
Sales Charges
125(1)
45-Day Free Look
126(1)
Withdrawal Plans
126(1)
Recommending Mutual Funds
127(1)
Structured Retail Products/SRPs
128(1)
Pretest
129(6)
Chapter 7 Variable Annuities And Life Insurance 135(22)
Annuities
135(3)
Equity Indexed Annuity
138(1)
Recommending Variable Annuities
139(1)
Annuity Purchase Options
140(1)
Accumulation Units
141(1)
Annuity Units
141(1)
Annuity Payout Options
142(1)
Factors Affecting the Size of the Annuity Payment
143(1)
The Assumed Interest Rate (AIR)
143(1)
Taxation
144(1)
Types of Withdrawals
144(1)
Annuitizing the Contract
145(1)
Expenses and Guarantees
145(1)
Other Charges
146(1)
Life Insurance
147(2)
Premiums and Death Benefits
149(1)
Assumed Interest Rate
150(1)
Variable Policy Features
151(1)
Tax Implications of Life Insurance
151(2)
Pretest
153(4)
Chapter 8 Retirement Plans 157(20)
Individual Plans
157(1)
Individual Retirement Accounts (IRAs)
158(1)
Traditional IRAs
158(1)
Roth IRAs
159(1)
Simplified Employee Pension IRA (SEP IRA)
160(2)
Death of an IRA Owner
162(1)
Educational IRA/Coverdell IRA
162(1)
529 Plans
163(1)
Tax-Sheltered Annuities (TSAs)/Tax-Deferred Accounts (TDAs)
164(2)
Corporate Plans
166(3)
Rolling Over a Pension Plan
169(1)
Employee Retirement Income Security Act of 1974 (ERISA)
169(2)
ERISA 404C Safe Harbor
171(1)
Department of Labor Fiduciary Rules
171(1)
Health Savings Accounts
172(1)
Pretest
173(4)
Chapter 9 Customer Accounts 177(24)
Holding Securities
179(1)
Mailing Instructions
180(1)
Types of Accounts
181(10)
Commingling Customers' Pledged Securities
191(1)
Wrap Accounts
191(1)
Regulation S-P
191(1)
ABLE Accounts
192(2)
FINRA Rules on Financial Exploitation of Seniors
194(3)
Pretest
197(4)
Chapter 10 Customer Recommendations, Professional Conduct, And Taxation 201(28)
Professional Conduct in the Securities Industry
202(1)
Fair Dealings with Customers
202(5)
Periodic Payment Plans
207(1)
Mutual Fund Current Yield
207(1)
Information Obtained from an Issuer
207(1)
Disclosure of Client Information
208(1)
Borrowing and Lending Money
208(1)
Gift Rule
208(1)
Outside Employment
209(1)
Private Securities Transactions
209(1)
Customer Complaints
209(1)
Investor Information
210(1)
NYSE/FINRA Know Your Customer
210(1)
Investment Objectives
211(2)
Risk vs. Reward
213(2)
Alpha
215(1)
Beta
215(1)
Capital Asset Pricing Model (CAPM)
215(1)
Products Made Available through Member Firms
216(1)
Recommendations through Social Media
217(1)
Tax Structure
218(1)
Investment Taxation
219(1)
Calculating Gains and Losses
219(1)
Cost Base of Multiple Purchases
220(1)
Deducting Capital Losses
220(1)
Wash Sales
221(1)
Taxation of Interest income
221(1)
Bond Ladder
222(1)
Inherited Securities
222(1)
Donating Securities to Charity
223(1)
Gift Taxes
223(1)
Estate Taxes
223(1)
Withholding Tax
223(1)
Corporate Dividend Exclusion
224(1)
Alternative Minimum Tax (AMT)
224(1)
Taxes on Foreign Securities
224(1)
Pretest
225(4)
Chapter 11 Securities Industry Rules And Regulations 229(38)
The Securities Exchange Act of 1934
229(1)
The Securities and Exchange Commission (SEC)
230(1)
Extension of Credit
231(1)
The National Association of Securities Dealers (NASD)
231(2)
Becoming a Member of FINRA
233(1)
Hiring New Employees
234(1)
Disciplinary Actions Against a Registered Representative
235(1)
Resignation of a Registered Representative
236(1)
Continuing Education
236(1)
Firm Element Continuing Education
237(1)
Regulatory Element
237(1)
Termination for Cause
238(1)
Retiring Representatives/Continuing Commissions
238(1)
State Registration
238(1)
Registration Exemptions
239(1)
Persons Ineligible to Register
239(1)
Communications with the Public
239(1)
FINRA Rule 2210 Communications with the Public
240(3)
Broker Dealer Websites
243(1)
Blind Recruiting Ads
243(1)
Generic Advertising
244(1)
Tombstone Ads
244(1)
Testimonials
245(1)
Free Services
245(1)
Misleading Communication with the Public
245(1)
Securities Investor Protection Corporation Act of 1970
245(1)
Net Capital Requirement
246(1)
Customer Coverage
246(1)
Fidelity Bond
247(1)
The Insider Trading & Securities Fraud Enforcement Act of 1988
247(1)
Firewall
248(1)
Telemarketing Rules
248(1)
Do Not Call List Exemptions
249(1)
The Role of the Principal
249(1)
Violations and Complaints
250(1)
Resolution of Allegations
250(1)
Minor Rule Violation
250(1)
Code of Arbitration
251(1)
The Arbitration Process
251(2)
Mediation
253(1)
Currency Transactions
253(1)
The Patriot Act
254(1)
U.S. Accounts
255(1)
Foreign Accounts
255(1)
Identity Theft
256(1)
Annual Compliance Review
256(1)
Business Continuity Plan
256(1)
Sarbanes-Oxley Act
257(1)
The Uniform Securities Act
258(3)
Pretest
261(6)
Answer Keys 267(10)
Glossary Of Exam Terms 277(66)
Index 343
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