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Wiley series 99 exam review 2017 : the Operations Professional Qualification Examination

Author: Securities Institute of America,
Publisher: Hoboken, New Jersey : Wiley, [2017] ©2017
Edition/Format:   eBook : Document : English

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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Genre/Form: Electronic books
Examinations, questions, etc
Additional Physical Format: Print version:
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: Securities Institute of America,
ISBN: 9781119403173 1119403170 9781119403203 1119403200
OCLC Number: 975487038
Description: 1 online resource.
Contents: About the Series 99 Exam xiiiAbout This Book xviAbout the Test Bank xviiAbout the Securities Institute of America xviiiChapter 1 Equity and Debt Securities 1What Is a Security? 1Capitalization 2Common Stock 3Preferred Stock 9Types of Dividends 12Rights 13Warrants 14Options 15American Depositary Receipts (ADRs)/American Depositary Shares (ADSs) 20Debt Securities/Bonds 21The Money Market 36Limited Partnerships 38Pretest 45Chapter 2 Brokerage Office Procedures and Back-Office Operations 49Hiring New Employees 49Resignation of a Registered Representative 50Registration Exemptions 51Persons Ineligible to Register 52Disciplinary Actions Against a Registered Representative 53Termination for Cause 54Outside Employment 54Private Securities Transactions 55Gift Rule 55Sharing in a Customer's Account 56Borrowing and Lending Money 56Order Tickets 57Executing an Order 57Becoming a Stockholder 59Clearly Erroneous Reports 60Execution Errors 61Unconfirmed Trades 62Corporate and Municipal Securities Settlement Options 62When-Issued Securities 64Government Securities Settlement Options 65Accrued Interest 65Close Outs 66Customer Confirmations 67Rules for Good Delivery 68Rejection of Delivery 70Reclamation 70Marking to the Market 71Customer Account Statements 71Dividend Distribution 72Proxies 74Operations Professionals Covered Persons 75Operational Red Flags 76Pretest 77Chapter 3 Record Keeping, Financial Requirements, and Clearing 81Blotters 81General Ledger 82Customer Accounts 82Suspense Account 82Subsidiary (Secondary) Records 82Securities Position Book (Ledger) Stock Record 83Order Tickets 83Confirmations and Notices 83Monthly Trial Balances and Net Capital Computations 83Employment Applications 83Records Required to Be Maintained for 3 Years 84Records Required to Be Maintained for 6 Years 84Records Required to Be Maintained for the Life of the Firm 84Requirement to Prepare and Maintain Records Under SEC 17a-3 and 17a-4 86Financial Requirements 87Box Counts 89Missing and Lost Securities 90The Customer Protection Rule 91FINRA Financial Requirements 94Fidelity Bonds 95Carrying of Customer Accounts 96The Depository Trust & Clearing Corporation (DTCC) 97The Fixed Income Clearing Corporation (FICC) 98The Option Clearing Corporation (OCC) 99American vs. European Exercise 99Expiration and Exercise 100Pretest 101Chapter 4 Issuing Corporate Securities 105The Prospectus 106The Final Prospectus 106Prospectus to Be Provided to Aftermarket Purchasers 107SEC Disclaimer 108Misrepresentations 108Tombstone Ads 108Free Riding and Withholding/FINRA Rule 5130 109Underwriting Corporate Securities 110Types of Underwriting Commitments 111Types of Offerings 113Exempt Securities 115Exempt Transactions 115Rule 137 Nonparticipants 122Rule 138 Nonequivalent Securities 123Rule 139 Issuing Research Reports 123Rule 415 Shelf Registration 124Securities Offering Reform Rules 124SEC Rule 405 125Additional Communication Rules 126Crowdfunding 127Pretest 129Chapter 5 Trading Securities 133Types of Orders 133The Exchanges 137The Role of the Designated Market Maker 138Crossing Stock 141Do Not Reduce (DNR) 141Adjustments for Stock Splits 142Super Display Book (SDBK) 142Short Sales 143Threshold Securities 146Over the Counter/Nasdaq 147Electronic Communication Networks (ECNs) 150Non-Nasdaq OTC Bulletin Board 151Pink OTC Market 151Third Market 152Fourth Market 152The Order Audit Trail System (OATS) 153Broker vs. Dealer 153FINRA's 5% Markup Policy 154Markups/Markdowns When Acting as a Principal 155Riskless Principal Transactions 155Net Transactions with Customers 156Proceeds Transactions 156Firm Quote Rule 157Trade Complaints Between Members 157Pretest 159Chapter 6 General Supervision 163The Role of the Principal 163Continuing Education 165Tape Recording Employees 167Heightened Supervisory Requirements 167Information Obtained from an Issuer 168Customer Complaints 168Investor Information 169Member Offices 169Annual Compliance Review 171Business Continuity Plan 171Currency Transactions 172The Patriot Act 172Identity Theft 174Pretest 175Chapter 7 Customer Accounts 179Opening a New Customer Account 179Holding Securities 181The Depository Trust Company (DTC) 182Mailing Instructions 183Types of Ownership 183Death of a Customer 184Partnership Accounts 185Trusts 185Corporate Accounts 186Trading Authorization 186Accounts for Employees of Other Broker Dealers 191Numbered Accounts 191Prime Brokerage Accounts 191Account Transfers 192Bulk Account Transfers 193Margin Accounts 194Guaranteeing a Customer's Account 196Day Trading Accounts 196Commingling Customer's Pledged Securities 196Wrap Account 197Regulation S-P 197Pretest 199Chapter 8 Margin Accounts 203Regulation of Credit 203House Rules 206Establishing a Long Position in a Margin Account 206Establishing a Short Position in a Margin Account 212Margin Requirements for Day Trading 216Combined Margin Accounts 217Portfolio Margin Accounts 218Securities Backed Lines of Credit 219Minimum Margin for Leveraged ETFs 219Pretest 221Chapter 9 Investment Companies 225Investment Company Philosophy 225Types of Investment Companies 226Investment Company Registration 228Investment Company Components 230Mutual Fund Distribution 233Distribution of Mutual Fund Shares 234Mutual Fund Prospectus 234Additional Disclosures by a Mutual Fund 236Anti-Reciprocal Rule 236Money Market Funds 237Valuing Mutual Fund Shares 237Mutual Fund Sales Charges 237Sales Charge Reductions 239Voting Rights 243Portfolio Turnover 244Recommending Mutual Funds 244Exchange Traded Funds/ETFs 245Exchange Traded Notes/ETNs 245ETFs That Track Alternatively Weighted Indexes 245Alternative Funds 246Floating Rate Bank Loan Funds 246Structured Retail Products/SRPs 247Pretest 249Chapter 10 Variable Annuities and Retirement Plans 253Annuities 253Recommending Variable Annuities 257Retirement Plans 262ERISA 404C Safe Harbor 275Department of Labor Fiduciary Rules 276Health Savings Accounts 276Pretest 279Chapter 11 Securities INDUSTRY Rules and Regulations 283The Securities Exchange Act of 1934 283Becoming a Member of FINRA 287Registration of Agents/Associated Persons 288State Registration 289Retail Communications/Communications with the Public 289Securities Investor Protection Corporation Act of 1970 294The Securities Acts Amendments of 1975 295The Insider Trading and Securities Fraud Enforcement Act of 1988 296Firewalls 296Telemarketing Rules 297The Penny Stock Cold Call Rule 298Violations and Complaints 299Political Contributions 303Investment Adviser Registration 304Investment Adviser Representatives 306Investment Adviser Advertising and Sales Literature 307Soft Dollars 308The Uniform Securities Act 310Pretest 311Answer Keys 315Glossary of Exam Terms 323Index 389
Other Titles: Wiley series 99 exam review 2017 + test bank :
Responsibility: the Securities Institute of America, Inc.


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