Wiley series 24 exam review 2017 the general securities principal qualification examination

by Securities Institute of America,

Format: Adobe EPUB ebook 2017 2017
  OverDrive Read
Availability: Available from OverDrive 1 of 1 copy
Available from OverDrive (1)
Summary
The go-to guide to acing the Series 24 Exam! 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 2017 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 2017 is your ticket to passing the Series 24 test on the first try—with flying colors!
Contents
WILEY SERIES 24 EXAM REVIEW 2017; Contents; About the Series 24 Exam; About This Book; About the Test Bank; About the Securities Institute of America; Chapter 1 Brokerage Office Procedures; Hiring New Employees; Resignation of a Registered Representative; Registration Exemptions; Persons Ineligible to Register; Disciplinary Actions Against a Registered Representative; Termination for Cause; Outside Employment; Private Securities Transactions; Gift Rule; Sharing in a Customer's Account; Borrowing and Lending Money; Order Tickets; Executing an Order; Order Room/Wire Room Purchase and Sales DepartmentMargin Department; Cashiering Department; Becoming a Stockholder; Trade Date; Settlement Date; Payment Date; Violation; Clearly Erroneous Reports; Execution Errors; Corporate and Municipal Securities Settlement Options; Cash; Next Day; Seller's Option; Buyer's Option; RVP/DVP/COD; When-Issued Securities; Government Securities Settlement Options; Accrued Interest; Calculating Accrued Interest; Close Outs; Customer Confirmations; Rules for Good Delivery; Rejection of Delivery; Delivery of Round Lots; Delivery of Bond Certificates; Reclamation; Marking to the Market Customer Account StatementsCarrying of Customer Accounts; Dividend Distribution; Declaration Date; Ex Dividend Date; Record Date; Payment Date; Stock Price and the Ex Dividend Date; Dividend Disbursement Process; Due Bills; Proxies; Pretest; Chapter 2 Record Keeping, Financial Requirements, and Reporting; Blotters; General Ledger; Customer Accounts; Subsidiary (Secondary) Records; Securities Position Book (Ledger) Stock Record; Order Tickets; Confirmations and Notices; Monthly Trial Balances and Net Capital Computations; Employment Applications Records Required to Be Maintained for Three YearsRecords Required to Be Maintained for Six Years; Records Required to Be Maintained for the Life of the Firm; Other Record Retention Requirements; Requirement to Prepare and Maintain Records Under SEC 17a-3 and 17a-4; Financial Requirements; Aggregate Indebtedness; Haircuts; Box Counts; Missing and Lost Securities; The Customer Protection Rule; The Early Warning Rule; FINRA Financial Requirements; Subordinated Loans; Temporary Subordination Agreements; Calculating Net Capital; Fidelity Bonds; Pretest; Chapter 3 Issuing Corporate Securities The ProspectusThe Final Prospectus; Free Writing Prospectus; Providing the Prospectus to Aftermarket Purchasers; SEC Disclaimer; Misrepresentations; Tombstone Ads; Free Riding and Withholding/FINRA Rule 5130; Underwriting Corporate Securities; Types of Underwriting Commitments; Firm Commitment; Best Efforts; Mini-Maxi; All or None (AON); Standby; Types of Offerings; Initial Public Offering (IPO)/New Issue; Subsequent Primary/Additional Issues; Primary Offering vs. Secondary Offering; Awarding the Issue; The Underwriting Syndicate; Selling Group; Underwriter's Compensation; Management Fee
Additional Information
Series Wiley FINRA series.
Subjects Business Examinations, questions, etc
Finance, Personal Examinations, questions, etc
Investments Examinations, questions, etc
Finance
Nonfiction
Business
Electronic books.
Publisher [Place of publication not identified] :Wiley2017
2017
Other Titles 2017 exam review + test bank :
Contributors OverDrive, Inc.
Language English
System Details Mode of access: World Wide Web.
Format: Adobe PDF eBook
Format: Adobe EPUB eBook
Format: OverDrive Read
Requires Adobe Digital Editions or Adobe Digital Editions
Description 1 online resource.
ISBN 9781119399957
9781119399803
Other Classic View