The Boston Institute of Finance Mutual Fund Advisor Course [Paperback]Series 6 and Series 63 Test Prepby Boston Institute of Finance
Usually ships within 2 to 4 working days Description of The Boston Institute of Finance Mutual Fund Advisor CourseAccess the industry's premier print study guide and the industry's premier online test-prep materials with this unique package. The study guide consists of seven chapters, which parallel the content of the exams. Each chapter includes review questions and provides the core knowledge necessary to pass the exams. The associated test-prep Web course provides sample test questions and tips that will help you get a better feel for the actual exams. Filled with in-depth insight and expert guidance, you won't need anything else to pass the Series 6 and Series 63 exams. Order your copy today.Title Information
Write a review of this book Customer Reviews from AmazonAbout Boston Institute of FinanceThe BOSTON INSTITUTE OF FINANCE (BIF) (www Bostonifi.com) develops and distributes multimedia and interactive learning solutions for professionals in the financial services industry. BIF possesses the largest digital repository of training material in the industry and manages the certification and training programs of thousands of corporate and individual learners in the United States and around the world.Contents of The Boston Institute of Finance Mutual Fund Advisor Course1. Investment SecuritiesIntroduction Money and Capital Markets Common Stock Yield on Common Stock Preferred Stock Corporate Bonds Other Types of Corporate Bonds Convertible Bonds Zero Coupon Bonds Order of Payment-Corporate Liquidation Interest rate Risk Yields Rights Warrants Collateralized Mortgage Obligations (CMO's) Interest Rates and Bond Concepts U.S. Government Securities Municipal Bonds Money Market Instruments Bankers' Acceptances Commercial Paper Negotiable Certificates of Deposit Inter-Bank Market for Foreign Currencies Eurodollar Bonds Additional Concepts 2. Securities Markets Introduction Types of Investment Risk Economic Factors Suitability and Risk Factors 3. Open‑End Investment Companies Introduction Types of Funds Classes of Shares Mutual Fund Accounts Distributions by Funds Taxation of Mutual Funds Mutual Fund Expenses Review Concepts Comparison ‑ Open‑End vs. Closed‑End Funds Important Points Additional Concepts ‑ Investment Companies 4. Regulation of Investment Companies Face Amount Certificate Companies Sales Charges Breakpoints Rights of Accumulation Advertising by Funds Mutual Fund Sales Literature Dollar Cost Averaging NASD Rules Concerning Investment Companies Mutual Fund Sales by Banks Additional Concepts ‑ Investment Company Regulations 5. Variable Annuities and Retirement Plans Introduction Fixed Annuities Variable Annuities Additional Concepts ‑ Variable Annuities Variable Life Insurance Main Points ‑ Variable Life Insurance Contracts Employee Retirement Income Security Act of 1974 (ERISA) Keogh Plans Individual Retirement Accounts Simplified Employee Pension Plan (SEP) Pension and Profit Sharing Plans 401(k) Plans 403‑B Plans 6. NASD Rules and Regulations Certificate of Incorporation By‑Laws of the NASD Advertising Rules Broker/Dealers Recommendations Made to Customers Private Securities Transactions Prompt Receipt and Delivery of Securities Proxy Material NASD Hot Issue Rules Charges for Services Confirmations Discretionary Accounts Dealing with Non‑Members Other Provisions of NASD Rules NASD Code of Procedure Uniform Practice Code Confirmations or Comparisons Good Delivery of Securities Trade Date and Settlement Date Investment Companies and NASD Rules of Fair Practice 7. Federal and State Regulations The Securities Act of 1933 Exempted Securities Under the 1933 Act Red Herring Prospectus Final Prospectus Effective Date of Registration Statement Liabilities Under the 1933 Act The Securities Exchange Act of 1934 Insider Transactions Market Manipulation Securities Investor Protection Act of 1970 State Securities Laws Uniform Gifts/Transfer to Minors Act Glossary Final Exam Additional Practice Questions 1, 2 and 3 Series 63 Test Prep Series 63 Questions and Answers |
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