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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Administrator advice advisory firm agent Alabama and/or ANSWER D EXPLANATION assets bank bonds broker-dealer buyers cease and desist Chicago Bulls choice commissions compensation consent to service court customer's defined disclose disclosure exam exempt securities exempt transaction federal covered adviser fees fiduciary financial institution fit the definition fixed annuity fraud fraudulent initial public offering interest investment adviser representative Investment Advisers Act investment company investment representative investors issued issuer Item Jim Thormby license material fact Mildred mutual fund NASAA NASDAQ non-exempt securities notice filing NYSE offer to sell okay OTC Bulletin Board penny stock person practice prohibited prospectus purchase qualified recommendations registration statement rule selling securities Series 63 service of process shares SIPC tell thing tion trading underwriters Uniform Securities Act unregistered variable annuity violation whiskey warehouse receipt