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Wiley series 26 exam review 2015 : the investment company products/variable contracts limited principal qualification examination

Author: Securities Institute of America, Inc,
Publisher: Hoboken, New Jersey : Wiley, [2015] ©2015
Series: Wiley FINRA.
Edition/Format:   eBook : Document : EnglishView all editions and formats
Summary:
The go-to guide to acing the Series 26 Exam! Passing the Investment Company Products/Variable Contracts Limited Principal Qualification Exam (Series 26) qualifies an individual to operate as a principal responsible for supervising and managing a firm and its agents conducting business in open-end mutual funds, variable annuities, and life insurance. The exam covers hiring and qualification, training of  Read more...
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Genre/Form: Electronic books
Examinations
Examinations, questions, etc
Additional Physical Format: Print version:
Van Blarcom, Jeff.
Wiley Series 26 Exam Review 2015 + Test Bank : The Investment Company Products/Variable Contracts Limited Principal Qualification Examination.
Hoboken : Wiley, ©2014
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: Securities Institute of America, Inc,
ISBN: 9781118857151 1118857151
OCLC Number: 896852723
Notes: Includes index.
Description: 1 online resource (326 pages) : illustrations.
Contents: WILEY SERIES 26 EXAM REVIEW 2015; CONTENTS; ABOUT THE SERIES 26 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; CLEARLY ERRONEOUS REPORTS; EXECUTION ERRORS; CORPORATE AND MUNICIPAL SECURITIES SETTLEMENT OPTIONS; GOVERNMENT SECURITIES SETTLEMENT OPTIONS; CLOSE OUTS; CUSTOMER CONFIRMATIONS; RULES FOR GOOD DELIVERY; REJECTION OF DELIVERY; RECLAMATION; MARKING TO THE MARKET; CUSTOMER ACCOUNT STATEMENTS; CARRYING OF CUSTOMER ACCOUNTS; Dividend Distribution; DECLARATION DATE; EX DIVIDEND DATE; RECORD DATE; PAYMENT DATE; STOCK PRICE AND THE EX DIVIDEND DATE. DIVIDEND DISBURSEMENT PROCESSDUE BILLS; PROXIES; CHAPTER 1 Pretest; BROKERAGE OFFICE PROCEDURES; CHAPTER 2 RECORD KEEPING, FINANCIAL REQUIREMENTS, AND REPORTING; Types of Records; BLOTTERS; GENERAL LEDGER; CUSTOMER ACCOUNTS; SUBSIDIARY (SECONDARY) RECORDS; SECURITIES POSITION BOOK (LEDGER) OR STOCK RECORD; ORDER TICKETS; CONFIRMATIONS AND NOTICES; MONTHLY TRIAL BALANCES AND NET CAPITAL COMPUTATIONS; EMPLOYMENT APPLICATIONS; Storage Requirements; RECORDS REQUIRED TO BE MAINTAINED FOR THREE YEARS; RECORDS REQUIRED TO BE MAINTAINED FOR SIX YEARS. RECORDS REQUIRED TO BE MAINTAINED FOR THE LIFE OF THE FIRMREQUIREMENT 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; FIDELITY BONDS; CHAPTER 2 Pretest; RECORD KEEPING, FINANCIAL REQUIREMENTS, AND REPORTING; CHAPTER 3 RECOMMENDATIONS TO CUSTOMERS; General Guidelines; Recommending Mutual Funds; PERFORMANCE; COSTS; EXPENSE RATIO; TAXATION; INVESTMENT OBJECTIVES. Exchange-Traded Funds (ETFs)MONEY MARKET FUNDS; MONEY MARKET GUIDELINES; Periodic Payment Plans; Mutual Fund Current Yield; Suitability; Fair Dealings with Customers; CHURNING; MANIPULATIVE AND DECEPTIVE PRACTICES; UNAUTHORIZED TRADING; FRAUDULENT ACTS; BLANKET RECOMMENDATIONS; SELLING DIVIDENDS; MISREPRESENTATIONS; OMITTING MATERIAL FACTS; MAKING GUARANTEES; Recommendations to an Institutional Customer; Short Sales in Connection with Recommendations; Issuing Research Reports; REQUIRED DISCLOSURES; Regulation FD (Fair Disclosure); CHAPTER 3 Pretest; RECOMMENDATIONS TO CUSTOMERS.
Series Title: Wiley FINRA.
Responsibility: the Securities Institute of America, Inc.

Abstract:

Passing the Investment Company Products/Variable Contracts Limited Principal Qualification Exam (Series 26) qualifies an individual to operate as a principal responsible for supervising and managing  Read more...

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