Wiley Series 63 Securities Licensing Exam Review 2019 + Test Bank
John Wiley & Sons Inc (Verlag)
9781119553090 (ISBN)
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Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2019 arms you with everything you need to pass this challenging 60-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides:
Dozens of examples
Assorted practice questions for each subject area covered in the exam
Priceless test-taking tips and strategies
Helpful hints on how to study for the test, manage stress, and stay focused
Wiley Series 63 Exam Review 2019 is your ticket to passing the Series 63 test on the first try—with flying colors!
Wiley empowers learners, researchers, universities, and corporations to achieve their goals in an ever-changing world. For over 200 years, Wiley has been helping people and organizations develop the skills and knowledge they need to succeed. Wiley develops digital education, learning, assessment, and certification solutions to help universities, businesses, and individuals move between education and employment and achieve their ambitions. By partnering with learned societies, we support researchers to communicate discoveries that make a difference. Our online scientific, technical, medical, and scholarly journals, books, and other digital content build on a 200-year heritage of quality publishing.
ABOUT THE SERIES 63 EXAM xi
ABOUT THIS BOOK xv
ABOUT THE TEST BANK xvii
ABOUT THE SECURITIES INSTITUTE OF AMERICA xix
CHAPTER 1 FEDERAL LAW REVIEW 1
The Securities Act of 1933 1
The Prospectus 2
The Final Prospectus 2
Misrepresentations 3
The Securities Exchange Act of 1934 3
Net Capital Requirement 7
Customer Coverage 7
Fidelity Bond 8
The Insider Trading and Securities Fraud Enforcement Act of 1988 8
Firewall 9
The Telephone Consumer Protection Act of 1991 9
National Securities Market Improvement Act of 1996 10
The Uniform Securities Act 11
The Uniform Prudent Investors Act of 1994 12
The Department of Labor Fiduciary Standard 13
The Patriot Act 13
Regulation S-P 14
Identity Theft 15
FINRA Rules on Financial Exploitation of Seniors 16
CHAPTER 2 DEFINITION OF TERMS 19
Security 19
Person 21
Broker Dealer 22
Pension Consultants 24
Investment Counsel 24
Form ADV 25
Investment Adviser Registration Database (IARD) 26
Investment Adviser Representative 27
Offer/Offer to Sell/Offer to Buy 29
Sale/Sell 30
Guarantee/Guaranteed 30
12B-1 Fees 30
Contumacy 31
Federally Covered Exemption 31
Power of Attorney 32
Escheatment 32
Pretest 33
CHAPTER 3 REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS 39
Registration of Broker Dealers and Agents 39
Agent Registration 40
Registering Broker Dealers 41
Financial Requirements 42
Broker Dealers on the Premises of Other Financial Institutions 42
Hiring New Employees 43
Resignation of a Registered Representative 44
Registering Agents 45
Canadian Firms and Agents 47
Investment Adviser Registration 47
The National Securities Market Improvement Act of 1996/The Coordination Act 48
Investment Adviser Representative 49
Investment Adviser Registration 50
Capital Requirements 50
Exams 51
Advertising and Sales Literature 52
Brochure Delivery 53
Wrap Accounts 53
Pretest 55
CHAPTER 4 SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS 59
Exempt Securities 59
Securities Registration 60
Registration of IPOs through Coordination 60
Registration through Notice Filing 61
Registration of Non-Established Issuers/Registration through Qualification 61
Exempt Securities/Federally Covered Exemption 63
Exempt Transactions 64
Rule 147 Intrastate Offering 67
Pretest 69
CHAPTER 5 PROFESSIONAL CONDUCT AND PROHIBITED AND FRAUDULENT ACTIONS 75
Fraud 75
Professional Conduct 76
Suitability 76
Market Manipulation 78
Customer Complaints 79
The Role of the Investment Adviser 79
Additional Compensation for an Investment Adviser 80
Agency Cross Transactions 80
Disclosures by an Investment Adviser 80
Investment Adviser Contracts 82
Private Investment Companies/Hedge Funds 82
Fulcrum Fees 82
Soft Dollars 83
Borrowing and Lending Money 84
Free Services 85
Pretest 87
CHAPTER 6 THE STATE SECURITIES ADMINISTRATOR AND THE UNIFORM SECURITIES ACT 95
Actions by the State Securities Administrator 95
Cancellation of a Registration 96
Withdrawal of a Registration 97
Actions against an Issuer of Securities 97
Rule Changes 97
Administrative Orders 97
Interpretive Opinions 99
Administrative Records 99
Investigations 100
Civil and Criminal Penalties 100
Jurisdiction of the State Securities Administrator 101
Administrator’s Jurisdiction over Securities Transactions 102
Radio, Television, and Newspaper Distribution 104
Right of Rescission 105
Statute of Limitations 105
Pretest 107
ANSWER KEYS 113
GLOSSARY OF EXAM TERMS 121
INDEX 187
| Erscheinungsdatum | 17.01.2019 |
|---|---|
| Verlagsort | New York |
| Sprache | englisch |
| Maße | 216 x 276 mm |
| Gewicht | 524 g |
| Themenwelt | Recht / Steuern ► EU / Internationales Recht |
| Recht / Steuern ► Wirtschaftsrecht ► Bank- und Kapitalmarktrecht | |
| Sozialwissenschaften ► Pädagogik | |
| Wirtschaft ► Betriebswirtschaft / Management ► Finanzierung | |
| Betriebswirtschaft / Management ► Spezielle Betriebswirtschaftslehre ► Bankbetriebslehre | |
| ISBN-13 | 9781119553090 / 9781119553090 |
| Zustand | Neuware |
| Informationen gemäß Produktsicherheitsverordnung (GPSR) | |
| Haben Sie eine Frage zum Produkt? |
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