首页 >
财务 >
投资 >
Wiley Series 63 Exam Review 2015 + Test Bank

Wiley Series 63 Exam Review 2015 + Test Bank The Uniform Securities Examination

作者： Jeff Van Blarcom
出版商： John Wiley & Sons
ISBN: 9781118857052
出版时间 October 2014
规格： Paperback , 192 pages
适应领域： U.S. ? 免责申明：
Countri(es) stated herein are used as reference only

List Price: ￥744.00

￥721.68 Save ￥22.32 (3%)

或

下载订单表

加入收藏
| 加入比较

描述
大纲

详细
The go-to guide to acing the Series 63 Exam!

Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state.

Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2015 arms you with everything you need to pass this challenging 60-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 63 Exam Review 2015 is your ticket to passing the Series 63 test on the first try—with flying colors!
ABOUT THE SERIES 63 EXAM IX

ABOUT THIS BOOK XIII

ABOUT THE TEST BANK XV

ABOUT THE SECURITIES INSTITUTE OF AMERICA XVII

CHAPTER 1

FEDERAL LAW REVIEW 1

The Securities Act of 1933 1

The Prospectus 2

The Final Prospectus 2

Misrepresentations 3

The Securities Exchange Act of 1934 3

Net Capital Requirement 7

Customer Coverage 7

Fidelity Bond 8

The Insider Trading and Securities Fraud Enforcement Act of 1988 8

Firewall 9

The Telephone Consumer Protection Act of 1991 9

National Securities Market Improvement Act of 1996 10

The Uniform Securities Act 11

The Uniform Prudent Investors Act of 1994 11

CHAPTER 2

DEFINITIONS OF TERMS 13

Security 13

Person 15

Broker Dealer 16

Pension Consultants 18

Form ADV 18

Investment Adviser Representative 19

Offer/Offer to Sell/Offer to Buy 21

Sale/Sell 22

Guarantee/Guaranteed 22

Contumacy 22

Federally Covered Exemption 23

Power of attorney 23

Pretest 25

CHAPTER 3

REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS 31

Registration of Broker Dealers and Agents 31

Agent Registration 32

Registering Broker Dealers 33

Financial Requirements 34

Broker Dealers on the Premises of Other Financial Institutions 34

Registering Agents 34

Canadian Firms and Agents 36

Investment Adviser Registration 36

The National Securities Market Improvement Act of 1996/The Coordination Act 37

Investment Adviser Representative 38

Investment Adviser Registration 38

Capital Requirements 39

Exams 39

Advertising and Sales Literature 40

Brochure Delivery 41

Wrap Accounts 41

Pretest 43

CHAPTER 4

SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS 47

Exempt Securities 47

Securities Registration 48

Registration of IPOs Through Coordination 48

Registration Through Notice Filing 49

Registration of Non-Established Issuers/Registration Through Qualifi cation 49

Exempt Securities/Federally Covered Exemption 51

Exempt Transactions 52

Pretest 57

CHAPTER 5

PROFESSIONAL CONDUCT AND PROHIBITED AND FRAUDULENT ACTIONS 63

Fraud 63

Professional Conduct 64

Suitability 64

Market Manipulation 66

Customer Complaints 67

The Role of the Investment Adviser 67

Additional Compensation for an Investment Adviser 68

Agency Cross Transactions 68

Disclosures by an Investment Adviser 68

Investment Adviser Contracts 70

Private Investment Companies/Hedge Funds 70

Fulcrum Fees 70

Soft Dollars 71

Borrowing and Lending Money 72

Pretest 73

CHAPTER 6

THE STATE SECURITIES ADMINISTRATOR AND THE UNIFORM SECURITIES ACT 81

Actions by the State Securities Administrator 81

Cancellation of a Registration 82

Withdrawal of a Registration 83

Actions Against an Issuer of Securities 83

Rule Changes 83

Administrative Orders 83

Interpretive Opinions 85

Administrative Records 85

Investigations 85

Civil and Criminal Penalties 86

Jurisdiction of the State Securities Administrator 87

Administrator’s Jurisdiction over Securities Transactions 87

Right of Rescission 90

Statute of Limitations 90

Pretest 91

ANSWER KEYS 97

GLOSSARY OF EXAM TERMS 105

INDEX 171

你可能需要


The Hong Kong Company Secretary's Handbook: Practice and Procedure (11th Edition): List Price: ￥497.55

￥482.62 Save ￥14.93 (3%)


Hong Kong Tax & Accounting Practical Toolkit (Basic Package): ￥3,161.07


Hong Kong Company Secretary Checklist, 2nd Edition: List Price: ￥1,283.40

￥1,244.90 Save ￥38.50 (3%)


Law of Companies in Hong Kong, 4th Edition (Hardcopy + e-Book): List Price: ￥3,255.00

￥3,157.35 Save ￥97.65 (3%)


Butterworths Hong Kong Discrimination Law Handbook, 4th Edition: List Price: ￥1,395.00

￥1,353.15 Save ￥41.85 (3%)


Sentencing in Hong Kong, 11th Edition: List Price: ￥3,329.40

￥3,229.52 Save ￥99.88 (3%)


Butterworths Hong Kong Company Law (Winding-Up and Miscellaneous Provisions) Handbook, 6th Edition: List Price: ￥2,120.40

￥2,056.79 Save ￥63.61 (3%)


Butterworths Hong Kong Company Law Handbook, 26th Edition: List Price: ￥4,092.00

￥3,969.24 Save ￥122.76 (3%)


Cross-Border Crime in Hong Kong: Extradition, Mutual Assistance & Financial Sanctions, 3rd Edition: List Price: ￥1,934.40

￥1,876.37 Save ￥58.03 (3%)


Clough & Clough on Personal Injuries: List Price: ￥1,395.00

￥1,353.15 Save ￥41.85 (3%)


Hong Kong Personal Insolvency Manual, 3rd Edition: List Price: ￥1,860.00

￥1,804.20 Save ￥55.80 (3%)


Butterworths Hong Kong Conveyancing and Property Law Handbook, 6th Edition: List Price: ￥1,674.00

￥1,623.78 Save ￥50.22 (3%)


A Practical Guide to Resolving Shareholder Disputes, 2nd Edition: List Price: ￥1,674.00

￥1,623.78 Save ￥50.22 (3%)


Tort Law in Hong Kong, 5th Edition (Hardcopy + ebook): List Price: ￥2,325.00

￥2,255.25 Save ￥69.75 (3%)


Company Law in Hong Kong: Practice and Procedure 2023 (Hardcopy + e-Book): List Price: ￥2,974.14

￥2,884.92 Save ￥89.22 (3%)


Company Law in Hong Kong: Insolvency 2023 (Hardcopy + e-Book): List Price: ￥2,643.99

￥2,564.67 Save ￥79.32 (3%)


Hong Kong Company Law, 15th Edition: List Price: ￥457.56

￥443.83 Save ￥13.73 (3%)


Private Equity in Hong Kong and China, 4th Edition: List Price: ￥1,860.00

￥1,804.20 Save ￥55.80 (3%)


Hong Kong Family Court Practice, 4th Edition: List Price: ￥2,511.00

￥2,435.67 Save ￥75.33 (3%)


Brooke's Notary Hong Kong, 3rd Edition: List Price: ￥1,581.00

￥1,533.57 Save ￥47.43 (3%)

“

Ordering from Professional Bookshop is fantastic, quick delivery great products, great customer service Siti L.
This is a great bookstore and have had no problems with them and all my orders have come on time and in good condition. Yang X.
Everything is perfect. Fast delivery. I highly recommend this website to all my friends and colleagues. Thanks Hoi Man L.
So thankful I am receiving all my books, thank you to all for a great service and excellent products Clinton K.
Professional Bookshop is amazing! I've been a loyal customer for over 5 years. Returns are easy to request, book or delivery complaints are taken seriously and the customer service team is friendly and patient. Mick D.
I wanted to informed you that the customer service is excellent. They were so polite and nice. I would continue to buy books from Professional Bookshop. Jingsong C.
Fast and quick service. Easy transaction method, arrived sooner than expected. Excellent packaging and the books received are in perfect condition! Thank you very much! I love the book and its quality. Saori B.
I can order any accounting books from worldwide from Professional Bookshop. Love this website and save my time to search from internet. Lingxiao R.
It is just so easy to find what you are always looking for and sometimes you can even find it up to 80% off what you would in the normal store. Graeme R.
I love shopping on Professional Bookshop! They have a wide range of accounting book with competent prices. Free shipping in Hong Kong is also really handy! Fergus Y.
Professional Bookshop is a great bookstore, I must say. Buying books in Professional Bookshop is so easy, great and reliable. It is highly recommendable. Deborah D.
A great site to shop accounting books and everything and with discountable prices. It’s my first choice whenever i want to shop something. Most trusted site. Zeng Z.
I found the books I needed and at a very low price. I am very happy and will definitely use it in the future Brian W.
I have been using Professional Bookshop for a while now. I am very impressed with customer service and delivery. When I need to have a return it is done very diligently. Olivia L.
Professional Bookshop is my default go to for finding the best prices and reading details of law books before buying. Detailed book description is very helpful. Tracy W.
I've been using Professional Bookshop since 2011 and they actually great, I always received great service and my book arrives on time. Lisa C.

所有书籍

Wiley Series 63 Exam Review 2015 + Test Bank The Uniform Securities Examination

Free delivery Hong Kong?

详细

你可能需要

What Our Customers Say?

所有书籍

Wiley Series 63 Exam Review 2015 + Test Bank The Uniform Securities Examination

Free delivery Hong Kong?

详细

你可能需要

What Our Customers Say?

video title