Pass the 65: A Training Guide for the Nasaa Series 65 Exam

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First Books, 2006 - 460 páginas
Do the terms hypothecation, diluted earnings, and inverted yield curve give you a headache? Do you need to take the Series 65 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 65 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 65 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 practice questions liberally sprinkled throughout its lessons, Pass the 65 includes three complete 135-question practice finals as well as study sheets summarizing each lesson and 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

THE BIG PICTURE
1
THE MAIN STUFF
9
WHAT THE HECK IS AN INVESTMENT ADVISER?
11
WHAT DOES AN ADVISER DO FOR A LIVING?
57
TYPES OF CLIENTS AND TAXATION ISSUES
109
RULES AND REGULATIONS
140
SECURITIES PRODUCTS
211
EQUITY SECURITIES
213
TRADING SECURITIES
305
PRACTICE FINALS
317
PRACTICE FINAL 1SERIES 65
319
ANSWERS
338
PRACTICE FINAL 2SERIES 65
359
ANSWERS
379
PRACTICE FINAL 3SERIES 65
399
ANSWERS
419

DEBT SECURITIES
225
MUTUAL FUNDS MADE EASY
243
ANNUITIES INSURANCE RETIREMENT PLANS
266
OPTIONS MADE EASY
294
ACRONYMS
439
GLOSSARY
441
INDEX
451
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