Wiley Series 66 Exam Review 2013 Test Bank 1st Edition by The Securities Institute Of America 111867569X 9781118675694

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Product details:

ISBN 10: 111867569X 

ISBN 13: 9781118675694

Author: The Securities Institute Of America

The Uniform Combined State Law Examination (series 66) Is Designed To Qualify Candidates As Both Securities Agents And Investment Adviser Representatives. Each Book Is Accompanied By An Online Test Bank With 113 Questions, Organized By Chapter. The Questions Included In The Book Have Been Included In This Online Test Bank Topics Covered: Economic Factors And Business Information Client Investment Recommendations And Strategies Laws, Regulations, And Guidelines, Including Prohibition On Unethical Business Practices Test: 100 Multiple Choice Questions; 2 Hours And 30 Minutes Testing Time; Candidate Must Answer 70% Of Questions Correctly To Pass. Pre-requisites: The Series 7 Is A Co-requisite Exam That Needs To Be Successfully Completed In Addition To The Series 66 Exam Before A Candidate Can Register With A State.

Wiley Series 66 Exam Review 2013 Test Bank 1st Table of contents:

CHAPTER 1

DEFINITION OF TERMS
Security
Person
Broker Dealer
Agent
Issuer
Nonissuer
Investment Adviser
Pension Consultants
Form ADV
Investment Adviser Representative
Solicitor
Institutional Investor
Accredited Investor
Qualified Purchaser
Private Investment Company
Offer/Offer to Sell/Offer to Buy
Sale/Sell
Guarantee/Guaranteed
Contumacy
Federally Covered Exemption
Option Contracts
Call Options
Put Options
Futures and Forwards
Secondary Market Orders
Market Orders
Buy Limit Orders
Sell Limit Orders
Stop Orders/Stop Loss Orders
Buy Stop Orders
Sell Stop Orders
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CHAPTER 2

SECURITIES INDUSTRY RULES AND REGULATIONS
The Securities Act of 1933
The Securities Exchange Act of 1934
Public Utilities Holding Company Act of 1935
Financial Industry Regulatory Authority (FINRA)
The Trust Indenture Act of 1939
Investment Advisers Act of 1940
Investment Company Act of 1940
Retail Communications/Communications with the Public
FINRA Rule 2210 Communications with the Public
Blind Recruiting Ads
Generic Advertising
Tombstone Ads
Testimonials
Free Services
Misleading Communications
Securities Investor Protection Corporation Act of 1970 (SIPC)
The Securities Acts Amendments of 1975
The Insider Trading and Securities Fraud Enforcement Act of 1988
Firewall
The Telephone Consumer Protection Act of 1991
National Securities Market Improvement Act of 1996
The Uniform Securities Act
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CHAPTER 3

CUSTOMER RECOMMENDATIONS, PROFESSIONAL CONDUCT, AND TAXATION
Professional Conduct by Investment Advisers
The Uniform Prudent Investors Act of 1994
Fair Dealings with Clients
Periodic Payment Plans
Disclosure of Client Information
Borrowing and Lending Money
Developing the Client Profile
Investment Objectives
Risk vs. Reward
Alpha
Beta
Fundamental Analysis
Capitalization
Tax Structure
Investment Taxation
Calculating Gains and Losses
Cost Base of Multiple Purchases
Deducting Capital Losses
Wash Sales
Taxation of Interest Income
Inherited and Gifted Securities
Donating Securities to Charity
Trusts
Gift Taxes
Estate Taxes
Withholding Tax
Corporate Dividend Exclusion
Alternative Minimum Tax (AMT)
Taxes on Foreign Securities
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CHAPTER 4

VARIABLE ANNUITIES AND RETIREMENT PLANS
Annuities
Equity-Indexed Annuities
Annuity Purchase Options
Accumulation Units
Annuity Units
Annuity Payout Options
Factors Affecting the Size of the Annuity Payment
The Assumed Interest Rate (AIR)
Taxation
Sales Charges
Variable Annuity vs. Mutual Fund
Retirement Plans
Individual Plans
Individual Retirement Accounts (IRAs)
529 Plans
IRA Contributions
IRA Accounts
IRA Investments
It Is Unwise to Put a Municipal Bond in an IRA
Rollover vs. Transfer
Keogh Plans (HR-10)
Contributions
Tax-Sheltered Annuities/Tax-Deferred Account
Contributions
Tax Treatment of Distributions
Corporate Plans
Non-Qualified Corporate Retirement Plans
Payroll Deductions
Deferred Compensation Plans
Qualified Plans
Types of Plans
Rolling Over a Pension Plan
Employee Retirement Income Security Act of 1974 (ERISA)
ERISA 404C Safe Harbor
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CHAPTER 5

REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS
Registration of Broker Dealers
Financial Requirements
Agent Registration
Registering Agents
Changes in an Agent’s Employment
Mergers and Acquisitions of Firms
Renewing Registrations
Canadian Firms and Agents
Investment Adviser State Registration
The National Securities Market Improvement Act of 1996 (The Coordination Act)
Investment Adviser Representative
State Investment Adviser Registration
Capital Requirements
Exams
Advertising and Sales Literature
Brochure Delivery
The Role of the Investment Adviser
Additional Compensation for an Investment Adviser
Agency Cross Transactions
Disclosures by an Investment Adviser
Investment Adviser Contracts
Additional Roles of Investment Advisers
Private Investment Companies/Hedge Funds
Fulcrum Fees
Wrap Accounts
Soft Dollars
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CHAPTER 6

SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS
Exempt Securities
Securities Registration
Exempt Securities/Federally Covered Exemption
Exempt Transactions
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CHAPTER 7

STATE SECURITIES ADMINISTRATORS AND THE UNIFORM SECURITIES ACT
Actions by the State Securities Administrator
Actions Against an Issuer of Securities
Rule Changes
Investigations
Civil and Criminal Penalties
Jurisdiction of the State Securities Administrator
Administrator’s Jurisdiction over Securities Transactions
Right of Rescission
Statute of Limitations
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