Wiley Securities Industry Essentials Exam Review 2022
Wiley Securities Industry Essentials Exam Review 2022
Wiley
John Wiley & Sons Inc
05/2022
432
Mole
Inglês
9781119893394
15 a 20 dias
954
Introduction to Equity Securities 1
Why Do People Buy Stock? 15
Dividends, Rights, Warrants, And ADRs 25
Introduction to Debt Securities 43
Types of Corporate Bonds 55
Municipal Bonds 69
Government and Government Agency Issues 79
The Money Market 93
Economics, Corporate Fundamentals, Issuing, and Trading Securities
An Introduction to Economics and Corporate Fundamentals 101
Isuing and Offering Corporate Securities 127
The Underwriting Syndicate and Exempt Transactions 141
Issuing Municipal Securities 161
Trading Securities in the Secondary Market 181
The Role of Broker Dealers and NASDAQ 189
Options, Investment Companies, Variable Annuities, and Retirement Plans
Option Basics 209
Using Options to Hedge a Position and Exercising Options 227
Investment Companies and Mutual Funds 243
Mutual Fund Investment Objectives, Valuation, and Sales Charges 253
Variable Annuities 273
Individual and Corporate Retirement Plans 285
Customer Accounts, Client Recommendations, Professional Conduct, and Industry Regulations
Customer Accounts, UGMAs, Accounts for Employees of Broker Dealers, and Customer Privacy 305
Employee Conduct and Reportable Events 331
Customer Recommendations, Professional Conduct, and Taxation 343
Securities Industry Rules and Regulations 359
Registration of Agents and Continuing Education 367
Communications with the Public, Dispute Resolution, Insider Trading, SIPC, and AML 377
Answer Keys 409
Introduction to Equity Securities 1
Why Do People Buy Stock? 15
Dividends, Rights, Warrants, And ADRs 25
Introduction to Debt Securities 43
Types of Corporate Bonds 55
Municipal Bonds 69
Government and Government Agency Issues 79
The Money Market 93
Economics, Corporate Fundamentals, Issuing, and Trading Securities
An Introduction to Economics and Corporate Fundamentals 101
Isuing and Offering Corporate Securities 127
The Underwriting Syndicate and Exempt Transactions 141
Issuing Municipal Securities 161
Trading Securities in the Secondary Market 181
The Role of Broker Dealers and NASDAQ 189
Options, Investment Companies, Variable Annuities, and Retirement Plans
Option Basics 209
Using Options to Hedge a Position and Exercising Options 227
Investment Companies and Mutual Funds 243
Mutual Fund Investment Objectives, Valuation, and Sales Charges 253
Variable Annuities 273
Individual and Corporate Retirement Plans 285
Customer Accounts, Client Recommendations, Professional Conduct, and Industry Regulations
Customer Accounts, UGMAs, Accounts for Employees of Broker Dealers, and Customer Privacy 305
Employee Conduct and Reportable Events 331
Customer Recommendations, Professional Conduct, and Taxation 343
Securities Industry Rules and Regulations 359
Registration of Agents and Continuing Education 367
Communications with the Public, Dispute Resolution, Insider Trading, SIPC, and AML 377
Answer Keys 409