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Wiley series 99 exam review 2015 + test bank : the operations professional qualification examination

Author: Securities Institute of America, Inc,
Publisher: Hoboken, New Jersey : Wiley, 2015. ©2015
Series: Wiley FINRA.
Edition/Format:   eBook : Document : English
Summary:
The go-to guide to acing the Series 99 Exam! Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level, standard operations functions, investor protection and market integrity regulations, identifying and escalating regulatory red-flag issues  Read more...
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Genre/Form: Electronic books
Examinations
Examinations, questions, etc
Additional Physical Format: Print version:
The Securities Institute of America, Inc.
Wiley series 99 exam review 2015 + test bank : the operations professional qualification examination.
Hoboken, New Jersey : Wiley, ©2015
xv, 376 pages
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: Securities Institute of America, Inc,
ISBN: 9781118857175 1118857178
OCLC Number: 896833519
Notes: Includes index.
Description: 1 online resource (399 pages) : illustrations, tables.
Contents: WILEY SERIES 99 EXAM REVIEW 2015; CONTENTS; ABOUT THE SERIES 99 EXAM; ABOUT THIS BOOK; ABOUT THE TEST BANK; ABOUT THE SECURITIES INSTITUTE OF AMERICA; CHAPTER 1 EQUITY AND DEBT SECURITIES; What Is a Security?; EQUITY = STOCK; DEBT = BONDS; Capitalization; Common Stock; CORPORATE TIME LINE; VALUES OF COMMON STOCK; RIGHTS OF COMMON STOCKHOLDERS; VOTING; LIMITED LIABILITY; INSPECTION OF BOOKS AND RECORDS; RESIDUAL CLAIM TO ASSETS; WHY DO PEOPLE BUY COMMON STOCK?; WHAT ARE THE RISKS OF OWNING COMMON STOCK?; Preferred Stock; FEATURES OF PREFERRED STOCK; PAYMENT OF DIVIDENDS. TYPES OF PREFERRED STOCKTypes of Dividends; CASH; STOCK; PROPERTY/PRODUCT; Rights; POSSIBLE OUTCOMES FOR A RIGHT; TERMS; STANDBY UNDERWRITING; Warrants; HOW DO PEOPLE GET WARRANTS?; POSSIBLE OUTCOMES OF A WARRANT; Options; CALLS; PUTS; BULLISH VS. BEARISH; CHARACTERISTICS OF ALL OPTIONS; POSSIBLE OUTCOMES FOR AN OPTION; OPTION PREMIUMS; INTRINSIC VALUE AND TIME VALUE; American Depositary Receipts (ADRs)/American Depositary Shares (ADSs); CURRENCY RISKS; Debt Securities/Bonds; CORPORATE BONDS; THE U.S. GOVERNMENT; U.S. GOVERNMENT AGENCIES; MUNICIPAL BONDS; TYPES OF BOND ISSUANCE. BOND CERTIFICATEBOND PRICING; BOND YIELDS; SECURED BONDS; UNSECURED BONDS; THE TRUST INDENTURE ACT OF 1939; COLLATERALIZED MORTGAGE OBLIGATION (CMO); The Money Market; MONEY MARKET INSTRUMENTS; CORPORATE MONEY MARKET INSTRUMENTS; GOVERNMENT MONEY MARKET INSTRUMENTS; Limited Partnerships; STRUCTURING AND OFFERING LIMITED PARTNERSHIPS; TYPES OF LIMITED PARTNERSHIPS; TAX REPORTING FOR DIRECT PARTICIPATION PROGRAMS; LIMITED PARTNERSHIP ANALYSIS; TAX DEDUCTIONS VS. TAX CREDITS; OTHER TAX CONSIDERATIONS; DISSOLVING A PARTNERSHIP; CHAPTER 1 Pretest; EQUITY AND DEBT SECURITIES. CHAPTER 2 BROKERAGE OFFICE PROCEDURES AND BACK-OFFICE OPERATIONSHiring 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; SALES DEPARTMENT; ORDER ROOM/WIRE ROOM; PURCHASE AND SALES DEPARTMENT; MARGIN DEPARTMENT; CASHIERING DEPARTMENT; CUSTODY DEPARTMENT; CORPORATE ACTION DEPARTMENT. Becoming a StockholderTRADE DATE; SETTLEMENT DATE; PAYMENT DATE; VIOLATION; Clearly Erroneous Reports; Execution Errors; Unconfirmed Trades; 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; Reclamation; Marking to the Market; Customer Account Statements; Dividend Distribution; DECLARATION DATE; EX DIVIDEND DATE; RECORD DATE.
Series Title: Wiley FINRA.
Responsibility: the Securities Institute of America, Inc.
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Abstract:

The go-to guide to acing the Series 99 Exam! Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a  Read more...

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