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EXAM REVIEW 2015


Year 2015

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Chapter 1. Definition of TermsINTRODUCTIONSECURITYPERSONBROKER DEALERAGENTISSUERNONISSUERINVESTMENT ADVISERPENSION CONSULTANTSFORM ADVINVESTMENT ADVISER REPRESENTATIVESOLICITORINSTITUTIONAL INVESTORACCREDITED INVESTORQUALIFIED PURCHASERPRIVATE INVESTMENT COMPANYOFFER/OFFER TO SELL/OFFER TO BUYSALE/SELLGUARANTEE/GUARANTEEDCONTUMACYFEDERALLY COVERED EXEMPTIONOPTION CONTRACTSCALL OPTIONSPUT OPTIONSFUTURES AND FORWARDSSECONDARY MARKET ORDERSMARKET ORDERSBUY LIMIT ORDERSSELL LIMIT ORDERSSTOP ORDERS/STOP LOSS ORDERSBUY STOP ORDERSSELL STOP ORDERSChapter 2. Securities Industry Rules and RegulationsINTRODUCTIONTHE SECURITIES ACT OF 1933THE PROSPECTUSTHE FINAL PROSPECTUSSEC DISCLAIMERMISREPRESENTATIONSTHE SECURITIES EXCHANGE ACT OF 1934THE SECURITIES AND EXCHANGE COMMISSION (SEC)EXTENSION OF CREDITPUBLIC UTILITIES HOLDING COMPANY ACT OF 1935FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)THE TRUST INDENTURE ACT OF 1939INVESTMENT ADVISERS ACT OF 1940INVESTMENT COMPANY ACT OF 1940RETAIL COMMUNICATIONS/COMMUNICATIONS WITH THE PUBLICFINRA RULE 2210 COMMUNICATIONS WITH THE PUBLICRETAIL COMMUNICATIONINSTITUTIONAL COMMUNICATIONSCORRESPONDENCEBLIND RECRUITING ADSGENERIC ADVERTISINGTOMBSTONE ADSTESTIMONIALSFREE SERVICESMISLEADING COMMUNICATIONSSECURITIES INVESTOR PROTECTION CORPORATION ACT OF 1970 (SIPC)NET CAPITAL REQUIREMENTCUSTOMER COVERAGEFIDELITY BONDTHE SECURITIES ACTS AMENDMENTS OF 1975THE INSIDER TRADING AND SECURITIES FRAUD ENFORCEMENT ACT OF 1988FIREWALLTHE TELEPHONE CONSUMER PROTECTION ACT OF 1991EXEMPTION FROM THE TELEPHONE CONSUMER PROTECTION ACT OF 1991NATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996THE UNIFORM SECURITIES ACTChapter 3. Economic FundamentalsINTRODUCTIONGROSS DOMESTIC PRODUCTEXPANSIONPEAKCONTRACTIONTROUGHRECESSIONDEPRESSIONECONOMIC INDICATORSLEADING INDICATORSCOINCIDENT INDICATORSLAGGING INDICATORSECONOMIC POLICYTOOLS OF THE FEDERAL RESERVE BOARDRESERVE REQUIREMENTCHANGING THE DISCOUNT RATEFEDERAL OPEN MARKET COMMITTEEMONEY SUPPLYM1M2M3DISINTERMEDIATIONMORAL SUASIONFISCAL POLICYCONSUMER PRICE INDEX (CPI)INFLATION/DEFLATIONREAL GDPINTERNATIONAL MONETARY CONSIDERATIONSChapter 4. Customer Recommendations, Professional Conduct, and TaxationINTRODUCTIONPROFESSIONAL CONDUCT BY INVESTMENT ADVISERSTHE UNIFORM PRUDENT INVESTORS ACT OF 1994FAIR DEALINGS WITH CLIENTSCHURNINGMANIPULATIVE AND DECEPTIVE DEVICESCUSTOMER COMPLAINTSUNAUTHORIZED TRADINGFRAUDBLANKET RECOMMENDATIONSANALYSISSELLING DIVIDENDSMISREPRESENTATIONSOMITTING MATERIAL FACTSGUARANTEESRECOMMENDING MUTUAL FUNDSPERIODIC PAYMENT PLANSDISCLOSURE OF CLIENT INFORMATIONBORROWING AND LENDING MONEYDEVELOPING THE CLIENT PROFILETYPES OF ADVISORY CLIENTSINVESTMENT OBJECTIVESINCOMEGROWTHPRESERVATION OF CAPITALTAX BENEFITSLIQUIDITYSPECULATIONRISK VS. REWARDCAPITAL RISKMARKET RISKNONSYSTEMATIC RISKLEGISLATIVE RISKTIMING RISKCREDIT RISKREINVESTMENT RISKINTEREST RATE RISKCALL RISKOPPORTUNITY RISKLIQUIDITY RISKALPHABETACAPITAL ASSET PRICING MODEL (CAPM)EFFICIENT MARKET THEORYEXPECTED RETURNTIME VALUE OF MONEYNET PRESENT VALUEINTERNAL RATE OF RETURNMODERN PORTFOLIO THEORYFUNDAMENTAL ANALYSISTHE BALANCE SHEETCAPITALIZATIONTAX STRUCTUREINVESTMENT TAXATIONCALCULATING GAINS AND LOSSESCOST BASE OF MULTIPLE PURCHASESFIFOSHARE IDENTIFICATIONAVERAGE COSTDEDUCTING CAPITAL LOSSESWASH SALESTAXATION OF INTEREST INCOMEINHERITED AND GIFTED SECURITIESDONATING SECURITIES TO CHARITYTRUSTSGIFT TAXESESTATE TAXESWITHHOLDING TAXCORPORATE DIVIDEND EXCLUSIONALTERNATIVE MINIMUM TAX (AMT)TAXES ON FOREIGN SECURITIESChapter 5. Variable Annuities, Retirement Plans, and Life InsuranceINTRODUCTIONANNUITIESFIXED ANNUITYVARIABLE ANNUITYDIRECT INVESTMENTINDIRECT INVESTMENTCOMBINATION ANNUITYBONUS ANNUITYEQUITY-INDEXED ANNUITIESANNUITY PURCHASE OPTIONSSINGLE-PAYMENT DEFERRED ANNUITYSINGLE-PAYMENT IMMEDIATE ANNUITYPERIODIC-PAYMENT DEFERRED ANNUITYACCUMULATION UNITSANNUITY UNITSANNUITY PAYOUT OPTIONSLIFE ONLY/STRAIGHT LIFELIFE WITH PERIOD CERTAINJOINT WITH LAST SURVIVORFACTORS AFFECTING THE SIZE OF THE ANNUITY PAYMENTTHE ASSUMED INTEREST RATE (AIR)TAXATIONSALES CHARGESVARIABLE ANNUITY VS. MUTUAL FUNDRETIREMENT PLANSINDIVIDUAL PLANSINDIVIDUAL RETIREMENT ACCOUNTS (IRAs)TRADITIONAL IRAROTH IRASIMPLIFIED EMPLOYEE PENSION IRA (SEP IRA)PARTICIPATIONEMPLOYER CONTRIBUTIONSSEP IRA TAXATIONEDUCATIONAL IRA529 PLANSLOCAL GOVERNMENT INVESTMENT POOLS (LGIPs)IRA CONTRIBUTIONSIRA ACCOUNTSIRA INVESTMENTSIT IS UNWISE TO PUT A MUNICIPAL BOND IN AN IRAROLLOVER VS. TRANSFERROLLOVERTRANSFERDEATH OF AN IRA OWNERKEOGH PLANS (HR-10)CONTRIBUTIONSTAX-SHELTERED ANNUITIES/TAX-DEFERRED ACCOUNTPUBLIC EDUCATIONAL INSTITUTIONS (403B)NONPROFIT ORGANIZATIONS/TAX-EXEMPT ORGANIZATIONS (501C3)CONTRIBUTIONSTAX TREATMENT OF DISTRIBUTIONSCORPORATE PLANSNON-QUALIFIED CORPORATE RETIREMENT PLANSPAYROLL DEDUCTIONSDEFERRED COMPENSATION PLANSQUALIFIED PLANSTYPES OF PLANSDEFINED BENEFIT PLANDEFINED CONTRIBUTION PLANEMPLOYEE STOCK OWNERSHIP PLANS/ESOPPROFIT SHARING PLANS401 (K) THRIFT PLANSROLLING OVER A PENSION PLANEMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA)PLAN PARTICIPATIONINVESTMENT POLICY STATEMENTFUNDINGVESTINGCOMMUNICATIONBENEFICIARIESERISA 404C SAFE HARBORLIFE INSURANCEWHOLE LIFEVARIABLE LIFEUNIVERSAL LIFEVARIABLE UNIVERSAL LIFE/ UNIVERSAL VARIABLE LIFEPREMIUMS AND DEATH BENEFITSMORTALITY RISK FEEINVESTMENT MANAGEMENT FEEEXPENSE RISK FEEASSUMED INTEREST RATEVARIABLE POLICY FEATURES45-DAY FREE LOOKLOANSCONTRACT EXCHANGEVOTINGSALES CHARGESLIFE SETTLEMENTSChapter 6. Registration of Broker Dealers, Investment Advisers, and AgentsINTRODUCTIONREGISTRATION OF BROKER DEALERSFINANCIAL REQUIREMENTSAGENT REGISTRATIONREGISTERING AGENTSCHANGES IN AN AGENT'S EMPLOYMENTMERGERS AND ACQUISITIONS OF FIRMSRENEWING REGISTRATIONSCANADIAN FIRMS AND AGENTSINVESTMENT ADVISER STATE REGISTRATIONTHE NATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996 (THE COORDINATION ACT)INVESTMENT ADVISER REPRESENTATIVESTATE INVESTMENT ADVISER REGISTRATIONCAPITAL REQUIREMENTSEXAMSADVERTISING AND SALES LITERATUREBROCHURE DELIVERYTHE ROLE OF THE INVESTMENT ADVISERADDITIONAL COMPENSATION FOR AN INVESTMENT ADVISERAGENCY CROSS TRANSACTIONSDISCLOSURES BY AN INVESTMENT ADVISERINVESTMENT ADVISER CONTRACTSADDITIONAL ROLES OF INVESTMENT ADVISERSPRIVATE INVESTMENT COMPANIES/HEDGE FUNDSFULCRUM FEESWRAP ACCOUNTSSOFT DOLLARSChapter 7. Securities Registration, Exempt Securities, and Exempt TransactionsINTRODUCTIONEXEMPT SECURITIESSECURITIES REGISTRATIONREGISTRATION OF IPOs THROUGH COORDINATIONREGISTRATION THROUGH NOTICE FILINGREGISTRATION OF NONESTABLISHED ISSUERS/ REGISTRATION THROUGH QUALIFICATIONEXEMPT SECURITIES/FEDERALLY COVERED EXEMPTIONEXEMPT TRANSACTIONSPRIVATE PLACEMENTS/ REGULATION D OFFERINGSPRIVATE INVESTMENT IN A PUBLIC EQUITY (PIPE)RULE 147 INTRASTATE OFFERINGREGULATION A OFFERINGSTRANSACTIONS WITH FINANCIAL INSTITUTIONSTRANSACTIONS WITH FIDUCIARIESTRANSACTIONS WITH UNDERWRITERSUNSOLICITED ORDERSTRANSACTIONS IN MORTGAGE-BACKED SECURITIESPLEDGESOFFERS TO EXISTING SECURITIES HOLDERSPREORGANIZATION CERTIFICATESISOLATED NONISSUER TRANSACTIONSNONISSUER TRANSACTIONSChapter 8. State Securities Administrators and the Uniform Securities ActINTRODUCTIONACTIONS BY THE STATE SECURITIES ADMINISTRATORCANCELLATION OF A REGISTRATIONWITHDRAWAL OF A REGISTRATIONACTIONS AGAINST AN ISSUER OF SECURITIESRULE CHANGESADMINISTRATIVE ORDERSINTERPRETIVE OPINIONSADMINISTRATIVE RECORDSINVESTIGATIONSCIVIL AND CRIMINAL PENALTIESJURISDICTION OF THE STATE SECURITIES ADMINISTRATORADMINISTRATOR'S JURISDICTION OVER SECURITIES TRANSACTIONSRIGHT OF RESCISSIONSTATUTE OF LIMITATIONS
 
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