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Wiley Series 7 Securities Licensing Study Guide plus Test Bank [Mīkstie vāki]

  • Formāts: Paperback / softback, height x width x depth: 274x218x44 mm, weight: 1565 g
  • Izdošanas datums: 27-Jan-2021
  • Izdevniecība: John Wiley & Sons Inc
  • ISBN-10: 1119802512
  • ISBN-13: 9781119802518
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Wiley Series 7 Securities Licensing Study Guide plus Test BankPalielināt
  • Formāts: Paperback / softback, height x width x depth: 274x218x44 mm, weight: 1565 g
  • Izdošanas datums: 27-Jan-2021
  • Izdevniecība: John Wiley & Sons Inc
  • ISBN-10: 1119802512
  • ISBN-13: 9781119802518
Citas grāmatas par šo tēmu:
Permanent link: https://www.kriso.lv/db/9781119802518.html
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Your essential guide to acing the Series 7 exam

Wiley Series 7 Securities Licensing Study Guide + Test Bank 2021 arms you with everything you need to pass this ninety-minute, 55-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.

As the most comprehensive guide to the Series 7 exam in the market today, this guide provides you with everything you need to know to become and succeed as a stockbroker. Among a wide variety of other topics, you'll learn about:









Public offerings and private placements of corporate securities Rights, warrants, mutual funds, money market funds, and unit investment trusts Real estate investment trusts (REITS) and mortgage- and asset-backed securities Options, municipal and government securities, as well as repos and certificates of accrual on government securities





Perfect for anyone studying for the Series 7 exam, this singular guide will not only efficiently prepare you to confidently take the test, but you'll also get a running start to succeeding as a broker from the moment you pass your exam.
Introduction xiii
About the Series 7 Exam xv
What is a Security? xix
About the Author xx
Equity Securities
1(28)
Overview of Equity Securities
3(1)
Common Stock
4(12)
Preferred Stock
16(8)
Warrants and ADRs
24(5)
Debt Securities
29(82)
Overview of Debt Securities
31(1)
Debt Security Definitions
32(29)
Corporate Bonds
61(12)
US Government and Government Agency Bonds
73(13)
Municipal Bonds and Municipal Fund Securities
86(20)
Money Market Instruments
106(5)
Investment Companies
111(50)
Overview of Investment Companies
113(6)
IRS Subchapter M and Investment Company Act of 1940
119(4)
Types and Objectives of Investment Companies
123(8)
Management Companies
131(6)
Open-End Funds
137(17)
Private Funds
154(3)
Real Estate Investment Trusts (REITs)
157(4)
Options
161(94)
Overview of Options
163(8)
In the Money, Out of the Money, and At the Money
171(2)
Premium, Intrinsic Value, and Time Value
173(3)
Basic Equity Option Strategies
176(18)
Hedging and Income Strategies
194(14)
Straddles and Combinations
208(8)
Spreads
216(15)
Multiple Contracts
231(5)
Index, Yield-Based, and Currency Options
236(8)
Rules
244(11)
Direct Participation Programs
255(22)
Overview of Direct Participation Programs
257(2)
General and Limited Partners
259(4)
Business Documents
263(3)
Types of DPPs
266(7)
DPP Definitions
273(2)
Dissolution of DPPs
275(2)
Risks and Suitability
277(14)
Overview of Risks and Suitability
279(1)
Risk Definitions
280(4)
Suitability
284(5)
Asset Allocation
289(2)
Analysis
291(39)
Overview of Analysis
293(1)
Fundamental Analysis
294(25)
Technical Analysis
319(8)
Investment Banking
327(2)
Overview of Investment Banking
329(1)
Investment Banking Definitions
330(45)
New Issues and Offerings
333(5)
Underwriting
338(2)
Securities Act of 1933
340(4)
Exempt Securities and Exempt Transactions
344(9)
Trust Indenture Act of 1939
353(2)
Blue Sky Laws
355(2)
Cooling-Off Period
357(3)
Agreement Among Underwriters
360(7)
Municipal Underwritings
367(4)
Compensation Rules
371(2)
Mergers and Acquisitions
373(2)
Trades of Outstanding Securities
375(64)
Overview of Trades of Outstanding Securities
377(1)
Primary and Secondary Markets
378(3)
Securities Exchange Act of 1934
381(3)
Exchanges and OTC Markets
384(11)
Broker-Dealers
395(4)
Order Tickets and Order Types
399(13)
Bid and Ask Prices
412(6)
Confirmations
418(4)
ACT and TRACE
422(2)
OATS
424(2)
SEC Regulation SHO
426(5)
Arbitrage
431(3)
Regulation M
434(5)
Taxation
439(32)
Overview of Taxation
441(1)
Progressive and Regressive Taxes
442(2)
Categories of Taxation
444(2)
Portfolio Income
446(2)
Capital Gains and Losses
448(6)
Ordinary Income
454(2)
Taxation on Bonds
456(5)
Passive Income
461(3)
Taxation for Corporations
464(2)
Cost Basis
466(5)
Retirement and Educational Plans
471(36)
Overview of Retirement and Educational Plans
473(1)
Rules
474(2)
Qualified and Non-Qualified Plans
476(3)
IRAs
479(7)
Keogh Plans
486(2)
Corporate Plans and Other Employer-Sponsored Plans
488(6)
Rollovers and Transfers
494(2)
Education Plans
496(4)
Annuities Overview
500(3)
Summary
503(4)
Annuities and Life Insurance
507(24)
Overview of Annuities and Life Insurance
509(2)
Fixed and Variable Annuities
511(3)
Accumulation and Annuity Units
514(4)
Annuity Pay-In and Pay-Out Options
518(3)
Annual Fees
521(2)
Equity-Indexed Annuities
523(2)
Life Insurance
525(4)
1035 Exchanges
529(2)
Margin
531(42)
Overview of Margin
533(1)
Regulation T
534(3)
Long Margin Accounts
537(10)
Short Margin Accounts
547(6)
Combined Margin Accounts
553(3)
Margin Agreements
556(4)
Securities in Lieu of Cash
560(2)
Margin Rules for Options
562(3)
Portfolio Margin
565(2)
Day Trading
567(1)
Margin Rules for New Offerings
568(2)
New Account Rules
570(3)
SEC Rules
573(20)
Overview of SEC Rules
575(1)
Federal Securities Laws
576(5)
SEC Authority
581(2)
Forms 13D and 13G
583(2)
Insiders and Insider Trading
585(5)
Penny Stock Rule
590(3)
FINRA Rules
593(84)
Overview of FINRA Rules
595(2)
Fair Practice and Uniform Practice Code Rules
597(2)
Opening New Accounts
599(11)
Anti-Money Laundering (AML)
610(3)
Death of Customers
613(3)
Account Transfers
616(3)
Handling of Complaints and Disputes
619(5)
Settlement and Payment
624(6)
Dividends
630(3)
Violations
633(6)
Allocation of Common Stock IPOs
639(4)
Public Communications
643(8)
Outside Business Activities
651(2)
Securities Licenses
653(3)
Continuing Education, U4, and U5 Forms
656(3)
Financial Responsibility
659(3)
Good Delivery
662(4)
Additional Order Ticket and Confirmation Rules
666(4)
Proxies
670(2)
Branch Offices
672(2)
FINRA Recordkeeping
674(3)
MSRB Rules
677
Overview of MSRB Rules
679(2)
Municipal Confirmations
681(3)
Municipal Securities in the Secondary Market
684(3)
Recordkeeping
687(2)
New Issue Rules
689(3)
Control Relationships and Financial Advisory Relationships
692(2)
MSRB Rules G-37 and G-38
694
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