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E-grāmata: Wiley Series 99 Securities Licensing Exam Review 2019 + Test Bank: The Operations Professional Examination

  • Formāts: EPUB+DRM
  • Izdošanas datums: 07-Dec-2018
  • Izdevniecība: John Wiley & Sons Inc
  • Valoda: eng
  • ISBN-13: 9781119553748
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  • Formāts: EPUB+DRM
  • Izdošanas datums: 07-Dec-2018
  • Izdevniecība: John Wiley & Sons Inc
  • Valoda: eng
  • ISBN-13: 9781119553748
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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 2019 arms you with everything you need to pass this challenging 100-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 99 Exam Review 2019 is your ticket to passing the Series 99 test on the first try—with flying colors!

About The Series 99 Exam xiii
About This Book xvi
About The Test Bank xvii
About The Securities Institute Of America xviii
Chapter 1 Equity And Debt Securities 1(48)
What Is a Security?
1(1)
Capitalization
2(1)
Common Stock
3(6)
Preferred Stock
9(3)
Types of Dividends
12(1)
Rights
13(1)
Warrants
14(1)
Options
15(5)
American Depositary Receipts (ADRs)/American Depositary Shares (ADSs)
20(1)
Debt Securities/Bonds
21(15)
The Money Market
36(2)
Limited Partnerships
38(7)
Pretest
45(4)
Chapter 2 Brokerage Office Procedures And Back-Office Operations 49(32)
Hiring New Employees
49(1)
Resignation of a Registered Representative
50(1)
Registration Exemptions
51(1)
Persons Ineligible to Register
52(1)
Disciplinary Actions Against a Registered Representative
53(1)
Termination for Cause
54(1)
Outside Employment
54(1)
Private Securities Transactions
55(1)
Gift Rule
55(1)
Sharing in a Customer's Account
56(1)
Borrowing and Lending Money
56(1)
Order Tickets
57(1)
Executing an Order
57(2)
Becoming a Stockholder
59(1)
Clearly Erroneous Reports
60(1)
Execution Errors
61(1)
Unconfirmed Trades
62(1)
Corporate and Municipal Securities Settlement Options
62(2)
When-Issued Securities
64(1)
Government Securities Settlement Options
65(1)
Accrued Interest
65(1)
Close Outs
66(1)
Customer Confirmations
67(1)
Rules for Good Delivery
68(2)
Rejection of Delivery
70(1)
Reclamation
70(1)
Marking to the Market
71(1)
Customer Account Statements
71(1)
Dividend Distribution
72(2)
Proxies
74(1)
Operations Professionals Covered Persons
75(1)
Operational Red Flags
76(1)
Pretest
77(4)
Chapter 3 Record Keeping, Financial Requirements, And Clearing 81(24)
Blotters
81(1)
General Ledger
82(1)
Customer Accounts
82(1)
Suspense Account
82(1)
Subsidiary (Secondary) Records
82(1)
Securities Position Book (Ledger) Stock Record
83(1)
Order Tickets
83(1)
Confirmations and Notices
83(1)
Monthly Trial Balances and Net Capital Computations
83(1)
Employment Applications
83(1)
Records Required to Be Maintained for 3 Years
84(1)
Records Required to Be Maintained for 6 Years
84(1)
Records Required to Be Maintained for the Life of the Firm
84(2)
Requirement to Prepare and Maintain Records Under SEC 17a-3 and 17a-4
86(1)
Financial Requirements
87(2)
Box Counts
89(1)
Missing and Lost Securities
90(1)
The Customer Protection Rule
91(3)
FINRA Financial Requirements
94(1)
Fidelity Bonds
95(1)
Carrying of Customer Accounts
96(1)
The Depository Trust & Clearing Corporation (DTCC)
97(2)
The Fixed Income Clearing Corporation (FICC)
99(1)
The Option Clearing Corporation (OCC)
99(1)
American vs. European Exercise
100(1)
Expiration and Exercise
100(1)
Pretest
101(4)
Chapter 4 Issuing Corporate Securities 105(28)
The Prospectus
106(1)
The Final Prospectus
106(1)
Prospectus to Be Provided to Aftermarket Purchasers
107(1)
SEC Disclaimer
108(1)
Misrepresentations
108(1)
Tombstone Ads
108(1)
Free Riding and Withholding/FINRA Rule 5130
109(1)
Underwriting Corporate Securities
110(1)
Types of Underwriting Commitments
111(2)
Types of Offerings
113(2)
Exempt Securities
115(1)
Exempt Transactions
115(8)
Rule 137 Nonparticipants
123(1)
Rule 138 Nonequivalent Securities
123(1)
Rule 139 Issuing Research Reports
123(1)
Rule 415 Shelf Registration
124(1)
Securities Offering Reform Rules
124(1)
SEC Rule 405
125(1)
Additional Communication Rules
126(1)
Crowdfunding
127(2)
Pretest
129(4)
Chapter 5 Trading Securities 133(30)
Types of Orders
133(4)
The Exchanges
137(1)
The Role of the Designated Market Maker
138(3)
Crossing Stock
141(1)
Do Not Reduce (DNR)
141(1)
Adjustments for Stock Splits
142(1)
Super Display Book (SDBK)
142(1)
Short Sales
143(3)
Threshold Securities
146(1)
Over the Counter/Nasdaq
147(3)
Electronic Communication Networks (ECNs)
150(1)
Non-Nasdaq OTC Bulletin Board
151(1)
Pink OTC Market
151(1)
Third Market
152(1)
Fourth Market
152(1)
The Order Audit Trail System (OATS)
153(1)
Broker vs. Dealer
153(1)
FINRA's 5% Markup Policy
154(1)
Markups/Markdowns When Acting as a Principal
155(1)
Riskless Principal Transactions
155(1)
Net Transactions with Customers
156(1)
Proceeds Transactions
156(1)
Firm Quote Rule
157(1)
Trade Complaints Between Members
157(2)
Pretest
159(4)
Chapter 6 General Supervision 163(16)
The Role of the Principal
163(2)
Continuing Education
165(2)
Tape Recording Employees
167(1)
Heightened Supervisory Requirements
167(1)
Information Obtained from an Issuer
168(1)
Customer Complaints
168(1)
Investor Information
169(1)
Member Offices
169(2)
Annual Compliance Review
171(1)
Business Continuity Plan
171(1)
Currency Transactions
172(1)
The Patriot Act
172(2)
Identity Theft
174(1)
Pretest
175(4)
Chapter 7 Custom ER Accounts 179(24)
Opening a New Customer Account
179(2)
Holding Securities
181(1)
The Depository Trust Company (DTC)
182(1)
Mailing Instructions
183(1)
Types of Ownership
183(1)
Death of a Customer
184(1)
Partnership Accounts
185(1)
Trusts
185(1)
Corporate Accounts
186(1)
Trading Authorization
186(5)
Accounts for Employees of Other Broker Dealers
191(1)
Numbered Accounts
191(1)
Prime Brokerage Accounts
191(1)
Account Transfers
192(1)
Bulk Account Transfers
193(1)
Margin Accounts
194(2)
Guaranteeing a Customer's Account
196(1)
Day Trading Accounts
196(1)
Commingling Customer's Pledged Securities
196(1)
Wrap Account
197(1)
Regulation S-P
197(2)
Pretest
199(4)
Chapter 8 Margin Accounts 203(22)
Regulation of Credit
203(3)
House Rules
206(1)
Establishing a Long Position in a Margin Account
206(6)
Establishing a Short Position in a Margin Account
212(4)
Margin Requirements for Day Trading
216(1)
Combined Margin Accounts
217(1)
Portfolio Margin Accounts
218(1)
Securities Backed Lines of Credit
219(1)
Minimum Margin for Leveraged ETFs
219(2)
Pretest
221(4)
Chapter 9 Investment Companies 225(28)
Investment Company Philosophy
225(1)
Types of Investment Companies
226(2)
Investment Company Registration
228(2)
Investment Company Components
230(3)
Mutual Fund Distribution
233(1)
Distribution of Mutual Fund Shares
234(1)
Mutual Fund Prospectus
234(2)
Additional Disclosures by a Mutual Fund
236(1)
Anti-Reciprocal Rule
236(1)
Money Market Funds
237(1)
Valuing Mutual Fund Shares
237(1)
Mutual Fund Sales Charges
237(2)
Sales Charge Reductions
239(4)
Voting Rights
243(1)
Portfolio Turnover
244(1)
Recommending Mutual Funds
244(1)
Exchange Traded Funds/ETFs
245(1)
Exchange Traded Notes/ETNs
245(1)
ETFs That Track Alternatively Weighted Indexes
245(1)
Alternative Funds
246(1)
Floating Rate Bank Loan Funds
246(1)
Structured Retail Products/SRPs
247(2)
Pretest
249(4)
Chapter 10 Variable Annuities And Retirement Plans 253(30)
Annuities
253(4)
Recommending Variable Annuities
257(5)
Retirement Plans
262(13)
ERISA 404C Safe Harbor
275(1)
Department of Labor Fiduciary Rules
276(1)
Health Savings Accounts
276(3)
Pretest
279(4)
Chapter 11 Securities Industry Rules And Regulations 283(32)
The Securities Exchange Act of 1934
283(4)
Becoming a Member of FINRA
287(1)
Registration of Agents/Associated Persons
288(1)
State Registration
289(1)
Retail Communications/Communications with the Public
289(5)
Securities Investor Protection Corporation Act of 1970
294(1)
The Securities Acts Amendments of 1975
295(1)
The Insider Trading and Securities Fraud Enforcement Act of 1988
296(1)
Firewalls
296(1)
Telemarketing Rules
297(1)
The Penny Stock Cold Call Rule
298(1)
Violations and Complaints
299(4)
Political Contributions
303(1)
Investment Adviser Registration
304(2)
Investment Adviser Representatives
306(1)
Investment Adviser Advertising and Sales Literature
307(1)
Soft Dollars
308(2)
The Uniform Securities Act
310(1)
Pretest
311(4)
Answer Keys 315(8)
Glossary Of Exam Terms 323(66)
Index 389
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