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A short course of lectures
«EXAM REVIEW 2015»





TAXATION OF INTEREST INCOMEMISREPRESENTATIONSACCUMULATION UNITSPRIVATE INVESTMENT COMPANIES/HEDGE FUNDSMERGERS AND ACQUISITIONS OF FIRMSVARIABLE ANNUITYCONTRACT EXCHANGEEMPLOYEE STOCK OWNERSHIP PLANS/ESOPSIMPLIFIED EMPLOYEE PENSION IRA (SEP IRA)Securities Registration, Exempt Securities, and Exempt TransactionsVESTINGEXTENSION OF CREDITLIFE WITH PERIOD CERTAINWITHDRAWAL OF A REGISTRATIONCOMMUNICATIONTRANSACTIONS WITH UNDERWRITERSTYPES OF PLANSOFFERS TO EXISTING SECURITIES HOLDERSOPTION CONTRACTSFIREWALLAGENT REGISTRATIONREINVESTMENT RISKREGULATION A OFFERINGSBONUS ANNUITYALPHATRANSACTIONS IN MORTGAGE-BACKED SECURITIESEXPECTED RETURNPREMIUMS AND DEATH BENEFITSFAIR DEALINGS WITH CLIENTSACTIONS AGAINST AN ISSUER OF SECURITIESPLEDGES(K) THRIFT PLANSFUNDAMENTAL ANALYSISINVESTMENT POLICY STATEMENTPRIVATE INVESTMENT IN A PUBLIC EQUITY (PIPE)FIDELITY BONDREGISTRATION THROUGH NOTICE FILINGPERSONTESTIMONIALSSALES CHARGESTIMING RISKEXEMPT TRANSACTIONSTAX TREATMENT OF DISTRIBUTIONSCORRESPONDENCECUSTOMER COMPLAINTSSTATE INVESTMENT ADVISER REGISTRATIONFORM ADVINVESTMENT ADVISERS ACT OF 1940SHARE IDENTIFICATIONPERIODIC PAYMENT PLANSMARKET ORDERSSecurities Industry Rules and RegulationsNONISSUER TRANSACTIONSTHE BALANCE SHEETLIFE INSURANCEREGISTRATION OF NONESTABLISHED ISSUERS/ REGISTRATION THROUGH QUALIFICATIONFIXED ANNUITYADVERTISING AND SALES LITERATURESOLICITORINVESTIGATIONSRETIREMENT PLANSISSUEREMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA)GROWTHTHE TRUST INDENTURE ACT OF 1939PUT OPTIONSCORPORATE DIVIDEND EXCLUSIONGROSS DOMESTIC PRODUCTRETAIL COMMUNICATIONS/COMMUNICATIONS WITH THE PUBLICECONOMIC INDICATORSLAGGING INDICATORSESTATE TAXESEDUCATIONAL IRACANADIAN FIRMS AND AGENTSSELL STOP ORDERSKEOGH PLANS (HR-10)REGISTERING AGENTSINSTITUTIONAL INVESTORTHE SECURITIES ACT OF 1933QUALIFIED PLANSCOST BASE OF MULTIPLE PURCHASESPRESERVATION OF CAPITALCHANGING THE DISCOUNT RATEANNUITY PAYOUT OPTIONSRENEWING REGISTRATIONSOFFER/OFFER TO SELL/OFFER TO BUYEQUITY-INDEXED ANNUITIESNATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996BENEFICIARIESLIFE ONLY/STRAIGHT LIFELEADING INDICATORSINSTITUTIONAL COMMUNICATIONSRISK VS. REWARD-DAY FREE LOOKECONOMIC POLICYINDIVIDUAL RETIREMENT ACCOUNTS (IRAs)PUBLIC EDUCATIONAL INSTITUTIONS (403B)AVERAGE COSTBLIND RECRUITING ADSDONATING SECURITIES TO CHARITYROLLING OVER A PENSION PLANFEDERALLY COVERED EXEMPTIONFULCRUM FEESNET PRESENT VALUETHE FINAL PROSPECTUSBUY LIMIT ORDERSDEATH OF AN IRA OWNERAGENCY CROSS TRANSACTIONSBUY STOP ORDERSFINANCIAL REQUIREMENTSEMPLOYER CONTRIBUTIONSSEP IRA TAXATIONRULE CHANGESUNSOLICITED ORDERSINVESTMENT ADVISERCUSTOMER COVERAGECREDIT RISKPROFESSIONAL CONDUCT BY INVESTMENT ADVISERSANALYSISROLLOVERMARKET RISKUNAUTHORIZED TRADINGREGISTRATION OF BROKER DEALERSSELL LIMIT ORDERSTHE SECURITIES EXCHANGE ACT OF 1934PERIODIC-PAYMENT DEFERRED ANNUITYTHE ASSUMED INTEREST RATE (AIR)BLANKET RECOMMENDATIONSIT IS UNWISE TO PUT A MUNICIPAL BOND IN AN IRATAX-SHELTERED ANNUITIES/TAX-DEFERRED ACCOUNTEXEMPT SECURITIES/FEDERALLY COVERED EXEMPTIONBETABORROWING AND LENDING MONEYSALE/SELLLOCAL GOVERNMENT INVESTMENT POOLS (LGIPs)PREORGANIZATION CERTIFICATESOPPORTUNITY RISKLOANSSOFT DOLLARSCANCELLATION OF A REGISTRATIONWHOLE LIFEPLANSDEVELOPING THE CLIENT PROFILEACTIONS BY THE STATE SECURITIES ADMINISTRATORPUBLIC UTILITIES HOLDING COMPANY ACT OF 1935THE PROSPECTUSMORAL SUASIONDEFINED BENEFIT PLANANNUITY PURCHASE OPTIONSTAXATIONTHE TELEPHONE CONSUMER PROTECTION ACT OF 1991PEAKVARIABLE POLICY FEATURESTHE NATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996 (THE COORDINATION ACT)M3DEPRESSIONWASH SALESADMINISTRATOR'S JURISDICTION OVER SECURITIES TRANSACTIONSRIGHT OF RESCISSIONM1CONTRIBUTIONSCORPORATE PLANSVOTINGPRIVATE INVESTMENT COMPANYFACTORS AFFECTING THE SIZE OF THE ANNUITY PAYMENTREGISTRATION OF IPOs THROUGH COORDINATIONNONISSUERADDITIONAL COMPENSATION FOR AN INVESTMENT ADVISERJOINT WITH LAST SURVIVORINCOMETHE ROLE OF THE INVESTMENT ADVISERSELLING DIVIDENDSVARIABLE UNIVERSAL LIFE/ UNIVERSAL VARIABLE LIFECHURNINGDEDUCTING CAPITAL LOSSESFIFOUNIVERSAL LIFEVARIABLE LIFEPAYROLL DEDUCTIONSINVESTMENT OBJECTIVESFISCAL POLICYTAX BENEFITSALTERNATIVE MINIMUM TAX (AMT)TRADITIONAL IRATIME VALUE OF MONEYFINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)SECONDARY MARKET ORDERSFEDERAL OPEN MARKET COMMITTEETAXES ON FOREIGN SECURITIESDefinition of TermsCAPITAL REQUIREMENTSEXPANSIONMISREPRESENTATIONSCALL RISKINVESTMENT ADVISER REPRESENTATIVENON-QUALIFIED CORPORATE RETIREMENT PLANSMORTALITY RISK FEEEXEMPT SECURITIESROTH IRARegistration of Broker Dealers, Investment Advisers, and AgentsCONTRIBUTIONSBROKER DEALERINVESTMENT TAXATIONPROFIT SHARING PLANSCustomer Recommendations, Professional Conduct, and TaxationEXEMPTION FROM THE TELEPHONE CONSUMER PROTECTION ACT OF 1991ANNUITY UNITSINFLATION/DEFLATIONQUALIFIED PURCHASERNONPROFIT ORGANIZATIONS/TAX-EXEMPT ORGANIZATIONS (501C3)INHERITED AND GIFTED SECURITIESREAL GDPINTERPRETIVE OPINIONSMODERN PORTFOLIO THEORYPARTICIPATIONTHE UNIFORM SECURITIES ACTSECURITIES REGISTRATIONSTOP ORDERS/STOP LOSS ORDERSMISLEADING COMMUNICATIONSDISCLOSURE OF CLIENT INFORMATIONSINGLE-PAYMENT DEFERRED ANNUITYADMINISTRATIVE RECORDSEconomic FundamentalsDISCLOSURES BY AN INVESTMENT ADVISERTRANSACTIONS WITH FINANCIAL INSTITUTIONSTRANSACTIONS WITH FIDUCIARIESLIQUIDITY RISKSINGLE-PAYMENT IMMEDIATE ANNUITYRULE 147 INTRASTATE OFFERINGDEFERRED COMPENSATION PLANSASSUMED INTEREST RATECONTUMACYNONSYSTEMATIC RISKTHE UNIFORM PRUDENT INVESTORS ACT OF 1994FUNDINGLIFE SETTLEMENTSNET CAPITAL REQUIREMENTINTEREST RATE RISKVariable Annuities, Retirement Plans, and Life InsuranceWRAP ACCOUNTSMANIPULATIVE AND DECEPTIVE DEVICESGUARANTEE/GUARANTEEDLEGISLATIVE RISKINTERNAL RATE OF RETURNTOOLS OF THE FEDERAL RESERVE BOARDINDIVIDUAL PLANSACCREDITED INVESTORIRA INVESTMENTSADDITIONAL ROLES OF INVESTMENT ADVISERSSALES CHARGESGENERIC ADVERTISINGFINRA RULE 2210 COMMUNICATIONS WITH THE PUBLICSECURITIES INVESTOR PROTECTION CORPORATION ACT OF 1970 (SIPC)CALCULATING GAINS AND LOSSESAGENTINVESTMENT ADVISER CONTRACTSINVESTMENT ADVISER REPRESENTATIVEWITHHOLDING TAXPLAN PARTICIPATIONCOINCIDENT INDICATORSOMITTING MATERIAL FACTSSPECULATIONCALL OPTIONSEFFICIENT MARKET THEORYCIVIL AND CRIMINAL PENALTIESTYPES OF ADVISORY CLIENTSMONEY SUPPLYEXAMSSEC DISCLAIMERANNUITIESFUTURES AND FORWARDSDEFINED CONTRIBUTION PLANIRA CONTRIBUTIONSIRA ACCOUNTSCAPITALIZATIONCAPITAL ASSET PRICING MODEL (CAPM)CAPITAL RISKRESERVE REQUIREMENTINDIRECT INVESTMENTTHE SECURITIES AND EXCHANGE COMMISSION (SEC)TAX STRUCTURECOMBINATION ANNUITYRETAIL COMMUNICATIONTRANSFERRECESSIONGUARANTEESDIRECT INVESTMENTPENSION CONSULTANTSPRIVATE PLACEMENTS/ REGULATION D OFFERINGSLIQUIDITYTHE INSIDER TRADING AND SECURITIES FRAUD ENFORCEMENT ACT OF 1988STATUTE OF LIMITATIONSM2VARIABLE ANNUITY VS. MUTUAL FUNDTHE SECURITIES ACTS AMENDMENTS OF 1975GIFT TAXESADMINISTRATIVE ORDERSROLLOVER VS. TRANSFERTRUSTSCONSUMER PRICE INDEX (CPI)INVESTMENT ADVISER STATE REGISTRATIONFRAUDState Securities Administrators and the Uniform Securities ActTROUGHDISINTERMEDIATIONJURISDICTION OF THE STATE SECURITIES ADMINISTRATORBROCHURE DELIVERYINTERNATIONAL MONETARY CONSIDERATIONSERISA 404C SAFE HARBORSECURITYISOLATED NONISSUER TRANSACTIONSINVESTMENT MANAGEMENT FEERECOMMENDING MUTUAL FUNDSEXPENSE RISK FEEINVESTMENT COMPANY ACT OF 1940CONTRACTIONTOMBSTONE ADSFREE SERVICESCHANGES IN AN AGENT'S EMPLOYMENT
 
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