Pass the 63: A Training Guide for the NASAA Series 63 ExamFirst Books, 2006 - 238 páginas Do the terms contumacy, federal covered security, and impoundment of proceeds give you a headache? Do you need to take the Series 63 exam? If you can answer yes to both of these questions, then you've come to the right place. Robert Walker, a professional trainer who specializes in the NASD/NASAA Series 63, 65/66, 6, and 7 exams, has written this book for those who are about to brave the Series 63 examination. Armed with an M.F.A. in writing and a B.A. in English, Walker has managed to translate Securities-ese into plain English, with a liberal dash of humor. This must-have book guides you through the intricacies of the Series 63 exam. Walker takes the exam apart piece by piece, and explains terms and concepts with a sense of humor and ease not found in other exam guides. He shows you, step-by-step, how not to be misled by the questions. In addition to a lengthy exercise in translation back into English, Pass the 63 includes four complete 60-question practice finals as well as a handy glossary. Plus you'll find that Robert directs you to his web site, where he offers updates, downloads, more practice finals, and other helpful information. Once you've finished this book, you will be able to take the test with confidence! |
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Contenido
What Its All About | 1 |
The Administrator | 20 |
Business Practices | 41 |
Securities | 71 |
Exclusions and Exemptions for Persons | 94 |
Federal Acts | 108 |
Glossary | 233 |
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Términos y frases comunes
acceptable activities actually Administrator advice advisory agent amount annuity ANSWER D EXPLANATION assets authority bank bonds broker-dealer called capital charge choice client commissions compensation consent contract court custody defined definition disclose don’t effective exam exchange exempt fact federal covered fees filing firm fraud fraudulent give individual institution interest investment adviser investment company investors issued issuer it’s Item license listed look material means Mildred mutual fund NASDAQ notice offer PASS person practice principal probably prohibited protection purchase question reasonable receive recommendations registered regulators remember representative risk rule sell shares simply statement sure talking tell thing THORMBY tion trading transaction true Uniform Securities Act unless violation written