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Wiley series 6 exam review 2016 : the investment company products and variable contracts products representative examination

Author: Securities Institute of America,
Publisher: Hoboken, New Jersey : Wiley, [2017]. ©2017
Edition/Format:   eBook : Document : EnglishView all editions and formats
Summary:

This book is designed to let you build and fine-tune your knowledge of all areas covered in the exam. It provides dozens of examples, assorted practice questions for each subject area covered in the  Read more...

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Genre/Form: Electronic books
Examinations
Examinations, questions, etc
Additional Physical Format: Print version:
(OCoLC)962355065
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: Securities Institute of America,
ISBN: 9781119400011 1119400015 9781119400028 1119400023
OCLC Number: 975487036
Description: 1 online resource.
Contents: About the Series 6 Exam xvAbout This Book xixAbout the Test Bank xxiAbout the Securities Institute of America xxiiiChapter 1 Equity Securities 1What Is a Security? 1Equity = Stock 2Common Stock 2Preferred Stock 12Options 20Calls 20Puts 20Bullish vs. Bearish 21Characteristics of All Options 21Exercise Price 22Buyer vs. Seller 22Possible Outcomes for an Option 22Currency Risks 23Functions of the Custodian Bank Issuing ADRs 23Real Estate Investment Trusts (REITs) 23Issuing Corporate Securities 24Types of Underwriting Commitments 24Types of Offerings 25Awarding the Issue 26The Underwriting Syndicate 26Selling Group 26Securities Markets 27The Exchanges 28Over the Counter/Nasdaq 28Market Makers 29Third Market 29Fourth Market 29Broker vs. Dealer 29Pretest 31Chapter 2 Debt Securities 35Corporate Bonds 35Types of Bond Issuance 36Bond Certificate 37Bond Pricing 37Corporate Bond Pricing 38Bond Yields 38Bond Maturities 41Types of Corporate Bonds 42Converting Bonds into Common Stock 45Advantages of Issuing Convertible Bonds 46Disadvantages of Issuing Convertible Bonds 46Convertible Bonds and Stock Splits 46The Trust Indenture Act of 1939 47Bond Indenture 47Ratings Considerations 47Retiring Corporate Bonds 48Collateralized Mortgage Obligation (CMO) 50CMOs and Interest Rates 51Types of CMOs 51Private-Label CMOs 53Exchange-Traded Notes (ETNs) 53Pretest 55Chapter 3 Government and Municipal Securities 59Series EE Bonds 59Series HH Bonds 60Treasury Bills, Notes, and Bonds 60Treasury Bond and Note Pricing 61Treasury Strips 62Treasury Receipts 62Treasury Inflation-Protected Securities (TIPS) 63Agency Issues 63Government National Mortgage Association (GNMA) 63Federal National Mortgage Association (FNMA) 64Federal Home Loan Mortgage Corporation (FHLMC) 64Federal Farm Credit System (FFCS) 64Municipal Bonds 65Legal Opinion 66Municipal Bond Insurance 66Tax Equivalent Yield 67Purchasing a Municipal Bond Issued in the State in Which the Investor Resides 67Triple Tax-Free 68Capital Gains 68Pretest 69Chapter 4 The Money Market 71Money Market Instruments 71Corporate Money Market Instruments 71Government Money Market Instruments 73Municipal Money Market Instruments 74International Money Market Instruments 74Interest Rates 74Pretest 77Chapter 5 Economic Fundamentals 79Gross Domestic Product (GDP) 79Recession 81Depression 81Economic Indicators 81Economic Policy 83Tools of The Federal Reserve Board 83Fiscal Policy 86Consumer Price Index (CPI) 87Inflation/Deflation 87Real GDP 87International Monetary Considerations 88Pretest 89Chapter 6Mutual Funds 93Investment Company Philosophy 93Types of Investment Companies 94Open-End vs. Closed-End Funds 95Diversified vs. Nondiversified 96Investment Company Registration 97Investment Company Components 99Mutual Fund Distribution 101Selling Group Member 101Distribution of No-Load Mutual Fund Shares 102Distribution of Mutual Fund Shares 102Mutual Fund Prospectus 102Characteristics of Open-End Mutual Fund Shares 104Mutual Fund Investment Objectives 105Other Types of Funds 106Bond Funds 107Valuing Mutual Fund Shares 109Changes in the NAV 110Sales Charges 11112B-1 Fees 113Calculating a Mutual Fund's Sales Charge Percentage 113Finding the Public Offering Price 114Sales Charge Reductions 114Breakpoint Schedule 115Letter of Intent 115Backdating a Letter of Intent 116Breakpoint Sales 116Rights of Accumulation 116Automatic Reinvestment of Distributions 117Other Mutual Fund Features 117Cost Base of Multiple Purchases 121Purchasing Mutual Fund Shares 122Sales Charges 12545-Day Free Look 126Withdrawal Plans 126Recommending Mutual Funds 127Structured Retail Products/SRPs 128Pretest 129Chapter 7 Variable Annuities and Life Insurance 135Annuities 135Equity Indexed Annuity 138Recommending Variable Annuities 139Annuity Purchase Options 140Accumulation Units 141Annuity Units 141Annuity Payout Options 142Factors Affecting the Size of the Annuity Payment 143The Assumed Interest Rate (AIR) 143Taxation 144Types of Withdrawals 144Annuitizing the Contract 145Expenses and Guarantees 145Other Charges 146Life Insurance 147Premiums and Death Benefits 149Assumed Interest Rate 150Variable Policy Features 151Tax Implications of Life Insurance 151Pretest 153Chapter 8 Retirement Plans 157Individual Plans 157Individual Retirement Accounts (IRAs) 158Traditional IRAs 158Roth IRAs 159Simplified Employee Pension IRA (SEP IRA) 160Death of an IRA Owner 162Educational IRA/Coverdell IRA 162529 PLANS 163Tax-Sheltered Annuities (TSAs)/Tax-Deferred Accounts (TDAs) 164Corporate Plans 166Rolling Over a Pension Plan 169Employee Retirement Income Security Act of 1974 (ERISA) 169ERISA 404C Safe Harbor 171Department of Labor Fiduciary Rules 171Health Savings Accounts 172Pretest 173Chapter 9 Customer Accounts 177Holding Securities 179Mailing Instructions 180Types of Accounts 181Commingling Customer's Pledged Securities 191Wrap Accounts 191Regulation S-P 191Pretest 193Chapter 10 Customer Recommendations, Professional Conduct, and Ta xation 197Professional Conduct in the Securities Industry 198Fair Dealings with Customers 198Periodic Payment Plans 203Mutual Fund Current Yield 203Information Obtained from an Issuer 203Disclosure of Client Information 204Borrowing and Lending Money 204Gift Rule 204Outside Employment 205Private Securities Transactions 205Customer Complaints 205Investor Information 206NYSE/FINRA Know Your Customer 206Investment Objectives 207Risk vs. Reward 209Alpha 211Beta 211Products Made Available through Member Firms 211Recommendations through Social Media 212Tax Structure 214Investment Taxation 214Calculating Gains and Losses 214Cost Base of Multiple Purchases 215Deducting Capital Losses 216Wash Sales 216Taxation of Interest income 217Inherited Securities 217Donating Securities to Charity 218Gift Taxes 218Estate Taxes 218Withholding Tax 218Corporate Dividend Exclusion 219Alternative Minimum Tax (AMT) 219Taxes on Foreign Securities 219Pretest 221Chapter 11 Securities Industry Rules and Regulations 225The Securities Exchange Act of 1934 225The Securities and Exchange Commission (SEC) 226Extension of Credit 227The National Association of Securities Dealers (NASD) 227Becoming a Member of FINRA 229Hiring New Employees 230Disciplinary Actions Against a Registered Representative 231Resignation of a Registered Representative 232Continuing Education 232Firm Element Continuing Education 233Regulatory Element 233Termination for Cause 234Retiring Representatives/Continuing Commissions 234State Registration 234Registration Exemptions 235Persons Ineligible to Register 235Communications with the Public 235FINRA Rule 2210 Communications with the Public 236Broker Dealer Websites 239Blind Recruiting Ads 239Generic Advertising 240Tombstone Ads 240Testimonials 241Free Services 241Misleading Communication with the Public 241Securities Investor Protection Corporation Act of 1970 241Net Capital Requirement 242Customer Coverage 242Fidelity Bond 243The Insider Trading & Securities Fraud Enforcement Act of 1988 243Firewall 244Telemarketing Rules 244Do Not Call List Exemptions 245The Role of the Principal 245Violations and Complaints 246Resolution of Allegations 246Minor Rule Violation 246Code of Arbitration 247The Arbitration Process 247Mediation 249Currency Transactions 249The Patriot Act 250U.S. Accounts 251Foreign Accounts 251Identity Theft 252Annual Compliance Review 252Business Continuity Plan 252Sarbanes-Oxley Act 253The Uniform Securities Act 254Pretest 257Answer Keys 263Glossary of Exam Terms 273Index 339
Other Titles: Wiley series 6 exam review 2017 + test bank :
Responsibility: The Securities Institute of America, Inc.

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