Wiley Series 66 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Combined State Law Examination (Wiley Securities Licensing)

Wiley Series 66 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Combined State Law Examination (Wiley Securities Licensing) – Digital Instant Dowload.

Product details:

• ISBN-10 ‏ : ‎ 1119553636
• ISBN-13 ‏ : ‎ 978-1119553632
• Author: Wiley

Passing the Uniform Combined State Law Examination (Series 66) qualifies an individual to represent both a broker-dealer and an investment adviser. It covers such topics as client investment strategies and ethical business practices. Taken as a corequisite with the Series 7 Exam, candidates must complete the Series 66 Exam in order to register as an agent with a state securities administrator.

Table of contents:

CHAPTER 1 DEFINITION OF TERMS 1

CHAPTER 2 SECURITIES INDUSTRY RULES AND REGULATIONS 23

CHAPTER 3 ECONOMIC FUNDAMENTALS 45

CHAPTER 4 CUSTOMER RECOMMENDATIONS, PROFESSIONAL CONDUCT, AND TAXATION 63

CHAPTER 5 VARIABLE ANNUITIES, RETIREMENT PLANS, AND LIFE INSURANCE 103

CHAPTER 6 REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS 141

CHAPTER 7 SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS 165

CHAPTER 8 STATE SECURITIES ADMINISTRATOR: THE UNIFORM SECURITIES ACT 183

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