Pass the 6: A Training Guide for the NASD Series 6 ExamFirst Books, 2006 - 349 páginas Do the terms collaterized mortgage obligation, subordinated debenture, and pass-through certificate give you a headache? Do you need to take the Series 6 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 6, 63, 65/66, and 7 exams, has written this book for those who are about to brave the Series 6 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 6 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. Pass the 6 includes two complete 100-question practice finals, a handy glossary, a final checklist/studysheet, and even a bonus section on trusts, estates, and gifts, along with its own set of questions. Plus you'll find that Robert directs you to his web site, where he offers updates, downloads, 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
Securities Markets Investment Securities and Economic Factors | 1 |
Securities Tax Regulations | 40 |
Marketing Prospecting and Sales Presentations | 87 |
Evaluation of Customers | 102 |
Product Information Investment Company Securities | 131 |
Opening Servicing Customer Accounts | 186 |
Glossary | 291 |
Final Checklist StudySheet | 317 |
337 | |
Términos y frases comunes
A-shares accumulation units amount ANSWER arbitration assets B-shares bank beneficiary bond funds broker-dealer called cash value choices listed client closed-end fund common stock contract contributions corporate bond cost basis coupon death benefit distributions dividends dollar earnings exam expenses federal growth & income growth fund guaranteed individual inflation insurance company interest rates investment adviser investment company investor issued issuer loan management fee means member firm mortgage municipal bonds mutual fund mutual fund shares NASD Rule offer open-end open-end fund ordinary income paid payments person portfolio preferred stock premium principal prospectus purchase receive registered representative reinvest reinvestment risk retirement plan risk tolerance Roth IRA sales charge sales literature sell separate account shareholders short-term tax-free taxable things trade Traditional IRA transaction Treasury securities trust U.S. Treasury underwriters variable annuity volatility yield