Wiley FINRA Series 26 Exam Review 2017
John Wiley & Sons Inc (Verlag)
978-1-119-37985-0 (ISBN)
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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 26 Exam Review 2017 is your ticket to passing the Series 26 test on the first try with flying colors!
About the Series 26 Exam xi About This Book xv About the Test Bank xvii About the Securities Institute of America xix Chapter 1 Brokerage Office Procedures 1 Hiring New Employees 1 Resignation of a Registered Representative 3 Registration Exemptions 4 Persons Ineligible to Register 4 Disciplinary Actions against a Registered Representative 5 Termination for Cause 6 Outside Employment 7 Private Securities Transactions 7 Gift Rule 7 Sharing in a Customer s Account 8 Borrowing and Lending Money 9 Order Tickets 9 Executing an Order 9 Becoming a Stockholder 11 Close Outs 15 Dividend Distribution 21 Pretest 25 Chapter 2 Record Keeping, Financial Requirements, and Reporting 29 Types of Records 29 Storage Requirements 31 Financial Requirements 35 Pretest 49 Chapter 3 Recommendations to Customers 55 General Guidelines 55 Suitability Standards 56 Mutual Fund Suitability 57 Exchange-Traded Funds (ETFs) 61 Periodic Payment Plans 63 Mutual Fund Current Yield 63 Suitability 63 Fair Dealings with Customers 63 Recommendations to an Institutional Customer 67 Short Sales in Connection with Recommendations 68 Issuing Research Reports 68 Regulation FD (Fair Disclosure) 71 Recommendations through Social Media 71 Pretest 75 Chapter 4 General Supervision 79 The Role of the Principal 79 Supervisor Qualifications and Prerequisites 80 Continuing Education 81 Tape Recording Employees 83 Heightened Supervisory Requirements 83 Information Obtained from an Issuer 84 Customer Complaints 84 Investor Information 85 Member Offices 85 Currency Transactions 88 The Patriot Act 88 Identity Theft 90 Pretest 91 Chapter 5 Customer Accounts 95 New Accounts 95 Holding Securities 97 The Depository Trust Company (DTC) 98 Mailing Instructions 99 Types of Account Ownership 99 Trading Authorization 101 Accounts for Employees of Other Broker Dealers 106 Numbered Accounts 106 Prime Brokerage Accounts 107 Account Transfer 107 Margin Accounts 109 Day Trading Accounts 110 Commingling Customers Pledged Securities 111 Wrap Accounts 111 Regulation S-P 111 Pretest 113 Chapter 6 Investment Companies 117 Investment Company Philosophy 117 Types of Investment Companies 118 Investment Company Registration 121 Investment Company Components 123 Mutual Fund Distribution 125 Mutual Fund Prospectus 126 Anti-Reciprocal Rule 129 Valuing Mutual Fund Shares 129 Sales Charges 131 Taxation of Mutual Funds 138 Voting Rights 143 Yields 143 Portfolio Turnover 144 Purchasing Mutual Fund Shares 144 Withdrawal Plans 147 Recommending Mutual Funds 148 Structured Retail Products/SRPs 149 Pretest 151 Chapter 7 Variable Annuities, Life Insurance, and Retirement Plans 155 Annuities 155 Life Insurance 165 Health Savings Accounts 171 Retirement Plans 172 Death of an IRA Owner 177 ERISA 404C Safe Harbor 185 Department of Labor Fiduciary Rules 185 Pretest 187 Chapter 8 Securities Industry Rules and Regulations 191 Issuing Securities 191 The Securities Exchange Act of 1934 194 The National Association of Securities Dealers (NASD) 197 Becoming a Member of FINRA 199 Foreign Broker Dealers 201 Compensation Paid to Unregistered Persons 201 Registration of Agents/Associated Persons 202 Retiring Representatives/Continuing Commissions 203 State Registration 203 Communications with the Public 203 Securities Investor Protection Corporation Act of 1970 (SIPC) 209 The Securities Acts Amendments of 1975 211 The Insider Trading & Securities Fraud Enforcement Act of 1988 211 Telemarketing Rules 212 The Penny Stock Cold Call Rule 213 Violations and Complaints 214 Political Contributions 218 Investment Adviser Registration 219 Investment Adviser Representatives 221 Investment Adviser Advertising and Sales Literature 222 Investment Adviser Brochure Delivery 223 Soft Dollars 223 Broker Dealers on the Premises of Other Financial Institutions 225 The Uniform Securities Act 226 Sarbanes-Oxley Act 226 SEC Regulation S-K 228 SEC Regulation M-A 229 The Hart-Scott-Rodino Act 230 FINRA Rule 5150 (Fairness Opinion) 231 SEC Regulation S-X 231 Pretest 233 Answer Keys 237 Glossary of Exam Terms 245 Index 311
| Erscheinungsdatum | 01.04.2017 |
|---|---|
| Verlagsort | New York |
| Sprache | englisch |
| Maße | 215 x 277 mm |
| Gewicht | 828 g |
| Themenwelt | Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung |
| Betriebswirtschaft / Management ► Spezielle Betriebswirtschaftslehre ► Bankbetriebslehre | |
| ISBN-10 | 1-119-37985-7 / 1119379857 |
| ISBN-13 | 978-1-119-37985-0 / 9781119379850 |
| Zustand | Neuware |
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