Wiley series 99 securities licensing exam review 2019 + test bank. Operations professional examination / ([2019])

• Record Type: Book
• Other Titles: Operations professional examination
• Further Information: Note: The Securities Institute of America, Inc.
• Other Names: Securities Institute of America.
• Contents: Intro; Wiley Finra Series; Title Page; Copyright; About the Series 99 Exam; Taking the Series 99 Exam; How to Prepare for the Series 99 Exam; What Type of Positions May a Series 99 Registered Operations Professional Hold?; What Score Is Required to Pass the Exam?; Are There Any Prerequisites for the Series 99?; How Do I Schedule an Exam?; What Must I Take to the Exam Center?; How Soon Will I Receive Results of the Exam?; About This Book; About the Test Bank; About The Securities Institute of America; Chapter 1: Equity and Debt Securities; What Is a Security?; Capitalization; Common Stock Preferred StockTypes of Dividends; Rights; Warrants; Options; American Depositary Receipts (ADRs)/American Depositary Shares (ADSs); Debt Securities/Bonds; The Money Market; Limited Partnerships; Pretest; Equity and Debt Securities; Chapter 2: Brokerage Office Procedures and Back-Office Operations; 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 MoneyOrder Tickets; Executing an Order; Becoming a Stockholder; Clearly Erroneous Reports; Execution Errors; Unconfirmed Trades; Corporate and Municipal Securities Settlement Options; When-Issued Securities; Government Securities Settlement Options; Accrued Interest; Close Outs; Customer Confirmations; Rules for Good Delivery; Rejection of Delivery; Reclamation; Marking to the Market; Customer Account Statements; Dividend Distribution; Proxies; Operations Professionals Covered Persons; Operational Red Flags; Pretest; Brokerage Office Procedures and Back-Office Operations Chapter 3: Record Keeping, Financial Requirements, and ClearingBlotters; General Ledger; Customer Accounts; Suspense Account; 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 3 Years; Records Required to Be Maintained for 6 Years; Records Required to Be Maintained for the Life of the Firm; Requirement to Prepare and Maintain Records Under SEC 17a-3 and 17a-4; Financial Requirements; Box Counts Missing and Lost SecuritiesThe Customer Protection Rule; FINRA Financial Requirements; Fidelity Bonds; Carrying of Customer Accounts; The Depository Trust & Clearing Corporation (DTCC); The Fixed Income Clearing Corporation (FICC); The Option Clearing Corporation (OCC); American vs. European Exercise; Expiration and Exercise; Pretest; Record Keeping, Financial Requirements, and Clearing; Chapter 4: Issuing Corporate Securities; The Prospectus; The Final Prospectus; Prospectus to Be Provided to Aftermarket Purchasers; SEC Disclaimer; Misrepresentations; Tombstone Ads
• Publisher Details: Hoboken, New Jersey : John Wiley and Sons, Inc
• Publication Date: 2019
• Extent: 1 online resource
• Subjects: 332.63/2; Securities -- Examinations -- Study guides; Stockbrokers -- Certification -- United States; BUSINESS & ECONOMICS / Finance; Electronic books
• Languages: English
• ISBNs: 9781119553748; 1119553741
• Related ISBNs: 9781119553786
• Notes: Note: Online resource; title from PDF title page (EBSCO, viewed December 28, 2018).
• 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.