Wiley series 24 exam review 2017 : the general securities principal qualification examination /: the general securities principal qualification examination. ([2017])

• Record Type: Book
• Other Titles: 2017 exam review + test bank
• Further Information: Note: The Securities Institute of America, Inc.
• Authors: Securities Institute of America,
• Contents: WILEY SERIES 24 EXAM REVIEW 2017; Contents; About the Series 24 Exam; About This Book; About the Test Bank; About the Securities Institute of America; Chapter 1 Brokerage Office Procedures; Hiring New Employees; Resignation of a Registered Representative; Registration Exemptions; Persons Ineligible to Register; Disciplinary Actions Against a Registered Representative; Termination for Cause; Outside Employment; Private Securities Transactions; Gift Rule; Sharing in a Customer's Account; Borrowing and Lending Money; Order Tickets; Executing an Order; Order Room/Wire Room Purchase and Sales DepartmentMargin Department; Cashiering Department; Becoming a Stockholder; Trade Date; Settlement Date; Payment Date; Violation; Clearly Erroneous Reports; Execution Errors; Corporate and Municipal Securities Settlement Options; Cash; Next Day; Seller's Option; Buyer's Option; RVP/DVP/COD; When-Issued Securities; Government Securities Settlement Options; Accrued Interest; Calculating Accrued Interest; Close Outs; Customer Confirmations; Rules for Good Delivery; Rejection of Delivery; Delivery of Round Lots; Delivery of Bond Certificates; Reclamation; Marking to the Market Customer Account StatementsCarrying of Customer Accounts; Dividend Distribution; Declaration Date; Ex Dividend Date; Record Date; Payment Date; Stock Price and the Ex Dividend Date; Dividend Disbursement Process; Due Bills; Proxies; Pretest; Chapter 2 Record Keeping, Financial Requirements, and Reporting; Blotters; General Ledger; Customer Accounts; Subsidiary (Secondary) Records; Securities Position Book (Ledger) Stock Record; Order Tickets; Confirmations and Notices; Monthly Trial Balances and Net Capital Computations; Employment Applications Records Required to Be Maintained for Three YearsRecords Required to Be Maintained for Six Years; Records Required to Be Maintained for the Life of the Firm; Other Record Retention Requirements; Requirement to Prepare and Maintain Records Under SEC 17a-3 and 17a-4; Financial Requirements; Aggregate Indebtedness; Haircuts; Box Counts; Missing and Lost Securities; The Customer Protection Rule; The Early Warning Rule; FINRA Financial Requirements; Subordinated Loans; Temporary Subordination Agreements; Calculating Net Capital; Fidelity Bonds; Pretest; Chapter 3 Issuing Corporate Securities The ProspectusThe Final Prospectus; Free Writing Prospectus; Providing the Prospectus to Aftermarket Purchasers; SEC Disclaimer; Misrepresentations; Tombstone Ads; Free Riding and Withholding/FINRA Rule 5130; Underwriting Corporate Securities; Types of Underwriting Commitments; Firm Commitment; Best Efforts; Mini-Maxi; All or None (AON); Standby; Types of Offerings; Initial Public Offering (IPO)/New Issue; Subsequent Primary/Additional Issues; Primary Offering vs. Secondary Offering; Awarding the Issue; The Underwriting Syndicate; Selling Group; Underwriter's Compensation; Management Fee
• Publisher Details: Hoboken : Wiley
• Publication Date: 2017
• Copyright Date: 2017
• Extent: 1 online resource
• Subjects: 332.632076; Business -- Examinations, questions, etc; Finance, Personal -- Examinations, questions, etc; Investments -- Examinations, questions, etc; BUSINESS & ECONOMICS / Finance / General; Electronic books; Electronic books
• Languages: English
• ISBNs: 9781119399803; 1119399807
• Related ISBNs: 9781119379782; 1119379784
• Notes: Note: Online resource; title from PDF title page (ebrary, viewed January 16, 2014).
• Access Rights: Legal Deposit; Only available on premises controlled by the deposit library and to one user at any one time; The Legal Deposit Libraries (Non-Print Works) Regulations (UK).
• Access Usage: Restricted: Printing from this resource is governed by The Legal Deposit Libraries (Non-Print Works) Regulations (UK) and UK copyright law currently in force.