دانلود کتاب Kaplan Securities Industry Essentials License Exam Manual, 2nd Edition - Comprehensive Exam Prep Book

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Introduction Understanding Products and Their Risks 1 Individual Securities—Equities Introduction Lesson 1.1: The Basic Securities Lesson 1.2: Common Stock Lesson 1.3: Rights, Warrants, and Rule 144 Lesson 1.4: American Depositary Receipts (ADRs) and Preferred Stock 2 Individual Securities—Debt Introduction Lesson 2.1: The Basics of Bonds Lesson 2.2: Bond Ratings and Features Lesson 2.3: Zeros and Types of Corporate Debt Lesson 2.4: Municipal Bonds Lesson 2.5: Treasuries Lesson 2.6: Agency Issues and Taxation Lesson 2.7: Money Markets and Asset-Backed Securities 3 Derivatives Introduction Lesson 3.1: Basic Options Lesson 3.2: Intrinsic Value, Time Value, and the Option Premium Lesson 3.3: Nonequity Options Lesson 3.4: Option Calculations Lesson 3.5: Hedging Risk With Options Lesson 3.6: Generating Premium Income Lesson 3.7: Administration and Compliance 4 Packaged Investments Introduction Lesson 4.1: Investment Company Act of 1940 Lesson 4.2: Variable Annuities and Life Insurance Lesson 4.3: Share Classes Lesson 4.4: Breakpoints Lesson 4.5: Pricing Lesson 4.6: Disclosure and Taxation 5 Other Investment Vehicles Introduction Lesson 5.1: 529 Plans Lesson 5.2: LGIPs and ABLEs Lesson 5.3: Direct Participation Programs Lesson 5.4: DPP Suitability and Taxation Lesson 5.5: REITs Lesson 5.6: Hedge Funds Lesson 5.7: Exchange-Traded Funds and Exchange-Traded Notes 6 Types of Risk Introduction Lesson 6.1: Systematic Risk Lesson 6.2: Nonsystematic Risk Lesson 6.3: Risk Mitigation Knowledge of Capital Markets 7 The Securities Act of 1933 and the Primary Markets Introduction Lesson 7.1: The Primary Markets Lesson 7.2: Participants in the Primary Market Lesson 7.3: Nonexempt Registration Lesson 7.4: Exemptions to Registration Lesson 7.5: Disclosure Documents 8 The Securities Exchange Act of 1934 and the Secondary Markets Introduction Lesson 8.1: The Secondary Markets Lesson 8.2: Exchanges and the OTC 9 The Government Regulators Introduction Lesson 9.1: The SEC and the Treasury Lesson 9.2: The Federal Reserve Board Lesson 9.3: SIPC, FDIC, and NASAA 10 The Self-Regulatory Organizations Introduction Lesson 10.1: Financial Industry Regulatory Authority Lesson 10.2: Other SROs 11 Economic Indicators Introduction Lesson 11.1: Economic Indicators 12 The Business Cycle Introduction Lesson 12.1: The Business Cycle 13 The Federal Reserve Introduction Lesson 13.1: The Federal Reserve 14 Fiscal Policy and Trade Introduction Lesson 14.1: Fiscal Policy Lesson 14.2: Currency Rates and the Balance of Trade 15 Industries and Companies Introduction Lesson 15.1: Types of Industries Lesson 15.2: Financials Understanding Trading, Customer Accounts, and Prohibited Activities 16 Placing a Trade Introduction Lesson 16.1: Market Attitude and Trade Types 17 Quotes Introduction Lesson 17.1: quotes 18 Position, Strategies, and Trade Authority Introduction Lesson 18.1: Positions and Strategies Lesson 18.2: Trade Authority 19 Settlement Introduction Lesson 19.1: Settlement Dates and Good Delivery 20 Investment Returns Introduction Lesson 20.1: Investment Returns Lesson 20.2: Taxation and Benchmarks 21 Corporate Actions Introduction Lesson 21.1: Corporate Actions 22 Nonqualified Account Introduction Lesson 22.1: Nonqualified Accounts Lesson 22.2: Trust, Custodial, and Education Accounts 23 Qualified Plans Introduction Lesson 23.1: Individual Retirement Accounts and Employer-Sponsored Plans 24 Account Features Introduction Lesson 24.1: Cash Accounts, Fee-Based Accounts, and Margin Accounts 25 AML/BSA Introduction Lesson 25.1: Anti-Money Laundering Rules 26 General Suitability Introduction Lesson 26.1: Making Suitable Recommendations 27 Communications With the Public Introduction Lesson 27.1: Communications With the Public 28 Record Keeping Requirements under SEC 17a-3 & 4 Introduction Lesson 28.1: Record Keeping Requirements 29 Prohibited Activities Introduction Lesson 29.1: Insider Trading, Market Manipulation, and Restricted Persons Lesson 29.2: Other Customer Care Rules Overview of the Regulatory Framework 30 Associating With a Broker‑Dealer Introduction Lesson 30.1: Associating With a Broker-Dealer Lesson 30.2: Other Personnel Rules 31 Terminating Association With a Broker-Dealer Introduction Lesson 31.1: The U-5 Form and Retesting 32 Ongoing Expectations of Associated Persons Introduction Lesson 32.1: Ongoing Expectations of Associated Persons Common Abbreviations Glossary Index _GoBack