Desktop version

Home arrow Law arrow EXAM REVIEW 2015

A short course of lectures
«EXAM REVIEW 2015»





SELL LIMIT ORDERSTROUGHROLLOVERPLANSQUALIFIED PLANSSALE/SELLADDITIONAL COMPENSATION FOR AN INVESTMENT ADVISERTHE INSIDER TRADING AND SECURITIES FRAUD ENFORCEMENT ACT OF 1988THE UNIFORM PRUDENT INVESTORS ACT OF 1994STATUTE OF LIMITATIONSLIFE WITH PERIOD CERTAINSINGLE-PAYMENT IMMEDIATE ANNUITYPARTICIPATIONINDIVIDUAL RETIREMENT ACCOUNTS (IRAs)FIREWALLRIGHT OF RESCISSIONPRESERVATION OF CAPITALSecurities Registration, Exempt Securities, and Exempt TransactionsREGULATION A OFFERINGSCHANGING THE DISCOUNT RATECORPORATE DIVIDEND EXCLUSIONINDIRECT INVESTMENTEXEMPTION FROM THE TELEPHONE CONSUMER PROTECTION ACT OF 1991PERIODIC PAYMENT PLANSPEAKISSUERDISINTERMEDIATIONOFFERS TO EXISTING SECURITIES HOLDERSCONTRACTIONESTATE TAXESCUSTOMER COVERAGEVOTINGNONISSUERCALL OPTIONSINCOMEANNUITY PURCHASE OPTIONSTHE SECURITIES EXCHANGE ACT OF 1934SELL STOP ORDERSCIVIL AND CRIMINAL PENALTIESTAXATION OF INTEREST INCOMESOFT DOLLARSMERGERS AND ACQUISITIONS OF FIRMSVARIABLE ANNUITYADMINISTRATIVE ORDERSM1DONATING SECURITIES TO CHARITYANALYSISPRIVATE PLACEMENTS/ REGULATION D OFFERINGSM3PLEDGESPRIVATE INVESTMENT IN A PUBLIC EQUITY (PIPE)PUBLIC UTILITIES HOLDING COMPANY ACT OF 1935ROLLING OVER A PENSION PLANINVESTMENT ADVISER REPRESENTATIVEGUARANTEE/GUARANTEEDGROSS DOMESTIC PRODUCTRETIREMENT PLANSSELLING DIVIDENDSPLAN PARTICIPATIONVARIABLE LIFEFEDERAL OPEN MARKET COMMITTEEMISREPRESENTATIONSREINVESTMENT RISKGIFT TAXESAGENT REGISTRATIONVARIABLE ANNUITY VS. MUTUAL FUNDFUNDINGANNUITY PAYOUT OPTIONSVariable Annuities, Retirement Plans, and Life InsuranceTIMING RISKOPPORTUNITY RISKROTH IRAEDUCATIONAL IRAINSTITUTIONAL COMMUNICATIONSRULE CHANGESADMINISTRATOR'S JURISDICTION OVER SECURITIES TRANSACTIONSSECURITIES INVESTOR PROTECTION CORPORATION ACT OF 1970 (SIPC)TYPES OF PLANSLEADING INDICATORSPREMIUMS AND DEATH BENEFITSLIQUIDITYTHE ROLE OF THE INVESTMENT ADVISERDISCLOSURE OF CLIENT INFORMATIONMANIPULATIVE AND DECEPTIVE DEVICESDEVELOPING THE CLIENT PROFILEINVESTMENT ADVISER REPRESENTATIVEFINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)INHERITED AND GIFTED SECURITIESLOCAL GOVERNMENT INVESTMENT POOLS (LGIPs)THE NATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996 (THE COORDINATION ACT)CONTRIBUTIONSEXPECTED RETURNVESTINGSALES CHARGESINVESTMENT ADVISERMARKET RISKTHE UNIFORM SECURITIES ACTVARIABLE POLICY FEATURESNON-QUALIFIED CORPORATE RETIREMENT PLANSINVESTMENT ADVISER CONTRACTSTHE PROSPECTUSTIME VALUE OF MONEYFAIR DEALINGS WITH CLIENTSBLIND RECRUITING ADSINTERNATIONAL MONETARY CONSIDERATIONSCOINCIDENT INDICATORSINVESTMENT POLICY STATEMENTFIDELITY BONDASSUMED INTEREST RATENATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996NONPROFIT ORGANIZATIONS/TAX-EXEMPT ORGANIZATIONS (501C3)INVESTMENT ADVISERS ACT OF 1940LEGISLATIVE RISKDEFINED BENEFIT PLANPRIVATE INVESTMENT COMPANYEXPANSIONQUALIFIED PURCHASERAVERAGE COSTINFLATION/DEFLATIONMORTALITY RISK FEETRUSTSOMITTING MATERIAL FACTSSECURITYCUSTOMER COMPLAINTSCREDIT RISKIRA ACCOUNTSSHARE IDENTIFICATIONSECURITIES REGISTRATIONDEATH OF AN IRA OWNERPROFESSIONAL CONDUCT BY INVESTMENT ADVISERSALPHARECOMMENDING MUTUAL FUNDSEFFICIENT MARKET THEORYRULE 147 INTRASTATE OFFERINGINSTITUTIONAL INVESTORState Securities Administrators and the Uniform Securities ActBLANKET RECOMMENDATIONSGUARANTEESWITHDRAWAL OF A REGISTRATIONECONOMIC POLICYFIFOTAX TREATMENT OF DISTRIBUTIONSSEC DISCLAIMERCONTRACT EXCHANGETRANSACTIONS WITH UNDERWRITERSREGISTRATION OF BROKER DEALERSSALES CHARGESANNUITY UNITSOFFER/OFFER TO SELL/OFFER TO BUYPERIODIC-PAYMENT DEFERRED ANNUITYREGISTERING AGENTSMISLEADING COMMUNICATIONSPENSION CONSULTANTSBORROWING AND LENDING MONEYJOINT WITH LAST SURVIVORTRADITIONAL IRAANNUITIESCAPITAL REQUIREMENTSFEDERALLY COVERED EXEMPTIONADMINISTRATIVE RECORDSBENEFICIARIESWHOLE LIFESEP IRA TAXATIONEXTENSION OF CREDITTRANSACTIONS IN MORTGAGE-BACKED SECURITIESRETAIL COMMUNICATIONVARIABLE UNIVERSAL LIFE/ UNIVERSAL VARIABLE LIFESecurities Industry Rules and RegulationsRISK VS. REWARDLAGGING INDICATORSTESTIMONIALSBONUS ANNUITYCANCELLATION OF A REGISTRATIONPUBLIC EDUCATIONAL INSTITUTIONS (403B)OPTION CONTRACTSAGENTNONSYSTEMATIC RISKALTERNATIVE MINIMUM TAX (AMT)TOMBSTONE ADSCALL RISKCOST BASE OF MULTIPLE PURCHASESINVESTMENT ADVISER STATE REGISTRATIONFULCRUM FEESROLLOVER VS. TRANSFEREQUITY-INDEXED ANNUITIESEMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA)EXEMPT SECURITIESBUY STOP ORDERSPERSONUNAUTHORIZED TRADING(K) THRIFT PLANSCOMMUNICATIONINVESTMENT MANAGEMENT FEEDEFERRED COMPENSATION PLANSINTERNAL RATE OF RETURNCORRESPONDENCEWRAP ACCOUNTSFORM ADVCOMBINATION ANNUITYREGISTRATION OF NONESTABLISHED ISSUERS/ REGISTRATION THROUGH QUALIFICATIONCORPORATE PLANSACCUMULATION UNITSTRANSACTIONS WITH FIDUCIARIESREGISTRATION OF IPOs THROUGH COORDINATIONMODERN PORTFOLIO THEORYTHE SECURITIES AND EXCHANGE COMMISSION (SEC)CALCULATING GAINS AND LOSSESIRA CONTRIBUTIONSEXAMSBUY LIMIT ORDERSTHE SECURITIES ACTS AMENDMENTS OF 1975Registration of Broker Dealers, Investment Advisers, and AgentsINVESTMENT COMPANY ACT OF 1940FUNDAMENTAL ANALYSISRECESSIONADDITIONAL ROLES OF INVESTMENT ADVISERSINVESTIGATIONSGENERIC ADVERTISINGTHE TELEPHONE CONSUMER PROTECTION ACT OF 1991JURISDICTION OF THE STATE SECURITIES ADMINISTRATORFISCAL POLICYMORAL SUASIONTHE FINAL PROSPECTUSSIMPLIFIED EMPLOYEE PENSION IRA (SEP IRA)IRA INVESTMENTSDEDUCTING CAPITAL LOSSESM2TAX-SHELTERED ANNUITIES/TAX-DEFERRED ACCOUNTISOLATED NONISSUER TRANSACTIONSDEFINED CONTRIBUTION PLANERISA 404C SAFE HARBORRETAIL COMMUNICATIONS/COMMUNICATIONS WITH THE PUBLICTHE TRUST INDENTURE ACT OF 1939STATE INVESTMENT ADVISER REGISTRATIONCONSUMER PRICE INDEX (CPI)DIRECT INVESTMENTPUT OPTIONSNET PRESENT VALUEWITHHOLDING TAXREAL GDP-DAY FREE LOOKTAX STRUCTUREMONEY SUPPLYAGENCY CROSS TRANSACTIONSPROFIT SHARING PLANSSECONDARY MARKET ORDERSCANADIAN FIRMS AND AGENTSWASH SALESCHANGES IN AN AGENT'S EMPLOYMENTPAYROLL DEDUCTIONSUNIVERSAL LIFELIQUIDITY RISKLIFE SETTLEMENTSGROWTHCAPITAL RISKLOANSEXPENSE RISK FEEFRAUDDISCLOSURES BY AN INVESTMENT ADVISERBETAIT IS UNWISE TO PUT A MUNICIPAL BOND IN AN IRARENEWING REGISTRATIONSCONTRIBUTIONSTAX BENEFITSPRIVATE INVESTMENT COMPANIES/HEDGE FUNDSKEOGH PLANS (HR-10)INTERPRETIVE OPINIONSREGISTRATION THROUGH NOTICE FILINGLIFE ONLY/STRAIGHT LIFECONTUMACYSOLICITORINTEREST RATE RISKFACTORS AFFECTING THE SIZE OF THE ANNUITY PAYMENTACTIONS AGAINST AN ISSUER OF SECURITIESFINANCIAL REQUIREMENTSRESERVE REQUIREMENTECONOMIC INDICATORSFIXED ANNUITYTHE ASSUMED INTEREST RATE (AIR)TOOLS OF THE FEDERAL RESERVE BOARDMISREPRESENTATIONSCAPITAL ASSET PRICING MODEL (CAPM)ACCREDITED INVESTOREXEMPT TRANSACTIONSTHE BALANCE SHEETFUTURES AND FORWARDSTAXATIONTRANSACTIONS WITH FINANCIAL INSTITUTIONSSINGLE-PAYMENT DEFERRED ANNUITYCAPITALIZATIONTRANSFERCustomer Recommendations, Professional Conduct, and TaxationSTOP ORDERS/STOP LOSS ORDERSBROKER DEALERSPECULATIONDefinition of TermsTHE SECURITIES ACT OF 1933EXEMPT SECURITIES/FEDERALLY COVERED EXEMPTIONEMPLOYER CONTRIBUTIONSNET CAPITAL REQUIREMENTINVESTMENT OBJECTIVESLIFE INSURANCETAXES ON FOREIGN SECURITIESTYPES OF ADVISORY CLIENTSUNSOLICITED ORDERSCHURNINGINDIVIDUAL PLANSNONISSUER TRANSACTIONSEconomic FundamentalsFREE SERVICESDEPRESSIONADVERTISING AND SALES LITERATUREACTIONS BY THE STATE SECURITIES ADMINISTRATORPREORGANIZATION CERTIFICATESBROCHURE DELIVERYMARKET ORDERSINVESTMENT TAXATIONFINRA RULE 2210 COMMUNICATIONS WITH THE PUBLICEMPLOYEE STOCK OWNERSHIP PLANS/ESOP
 
Found a mistake? Please highlight the word and press Shift + Enter