Wiley Series 24 Securities Licensing Exam Review 2020 + Test Bank
John Wiley & Sons Inc (Verlag)
978-1-119-70403-4 (ISBN)
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Passing the General Securities Principal Qualification Examination (Series 24) qualifies an individual to act as a principal of a general securities broker-dealer and to supervise the firm and its agents. The exam covers the supervision of such areas as investment banking, underwriting, and research practices; trading and market-making; brokerage office operations; and sales practices and agents, as well as compliance with financial responsibility rules. Candidates must have passed the Series 62 or Series 7 prior to taking the Series 24 Exam.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 24 Exam Review 2020 arms you with everything you need to pass this intensive 150-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 24 Exam Review 2020 is your ticket to passing the Series 24 test on the first try—with flying colors!
The Securities Institute of America, Inc. has an 18 year track record for excellence in securities exam training. Jeffrey Van Blarcom author from The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year Learn more at : https://securitiesce.com Wiley empowers learners, researchers, universities, and corporations to achieve their goals in an ever-changing world. For over 200 years, Wiley has been helping people and organizations develop the skills and knowledge they need to succeed. Wiley develops digital education, learning, assessment, and certification solutions to help universities, businesses, and individuals move between education and employment and achieve their ambitions. By partnering with learned societies, we support researchers to communicate discoveries that make a difference. Our online scientific, technical, medical, and scholarly journals, books, and other digital content build on a 200-year heritage of quality publishing.
About the Series 24 Exam xix
About this Book xxiii
About the Test Bank xxiv
About the Securities Institute of America xxv
Chapter 1 Brokerage Office Procedures 1
Chapter 2 Record Keeping, Financial Requirements, and Reporting 31
Chapter 3 Issuing Corporate Securities 59
Chapter 4 Trading Securities 93
Chapter 5 Recommendations to Customers 169
Chapter 6 General Supervision 197
Chapter 7 Customer Accounts 215
Chapter 8 Margin Accounts 239
Chapter 9 Investment Companies 261
Chapter 10 Variable Annuities and Retirement Plans 297
Chapter 11 Securities Industry Rules and Regulations 327
Answer Keys 377
Appendix 387
Glossary of Exam Terms 421
Index 487
Erscheinungsdatum | 01.05.2020 |
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Verlagsort | New York |
Sprache | englisch |
Maße | 215 x 274 mm |
Gewicht | 1164 g |
Themenwelt | Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung |
ISBN-10 | 1-119-70403-0 / 1119704030 |
ISBN-13 | 978-1-119-70403-4 / 9781119704034 |
Zustand | Neuware |
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