Wiley Securities Industry Essentials Exam Review 2022

Equity and Debt Securities

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

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