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Home arrow Law arrow EXAM REVIEW 2015

A short course of lectures
«EXAM REVIEW 2015»





INVESTMENT POLICY STATEMENTWHOLE LIFECAPITAL ASSET PRICING MODEL (CAPM)ADMINISTRATIVE RECORDSGIFT TAXESPLANSANNUITY UNITSCHANGING THE DISCOUNT RATEFIXED ANNUITYKEOGH PLANS (HR-10)SOLICITORPRESERVATION OF CAPITALTAXES ON FOREIGN SECURITIESTIMING RISKCANADIAN FIRMS AND AGENTSAGENT REGISTRATIONLOCAL GOVERNMENT INVESTMENT POOLS (LGIPs)Definition of TermsPERSONJOINT WITH LAST SURVIVORTAXATIONEQUITY-INDEXED ANNUITIESFUTURES AND FORWARDSINVESTMENT OBJECTIVESPLAN PARTICIPATIONEXEMPT TRANSACTIONSWASH SALESAGENTDEATH OF AN IRA OWNERPENSION CONSULTANTSCALCULATING GAINS AND LOSSESCUSTOMER COMPLAINTSINVESTMENT ADVISER CONTRACTSTHE TRUST INDENTURE ACT OF 1939OMITTING MATERIAL FACTSPUT OPTIONSADDITIONAL COMPENSATION FOR AN INVESTMENT ADVISERTAX TREATMENT OF DISTRIBUTIONSTRANSACTIONS WITH UNDERWRITERSWRAP ACCOUNTSBROKER DEALERINCOMEDEFINED BENEFIT PLANCAPITALIZATIONEXEMPT SECURITIES/FEDERALLY COVERED EXEMPTIONROLLOVER VS. TRANSFERRISK VS. REWARDPROFESSIONAL CONDUCT BY INVESTMENT ADVISERSDEPRESSIONTRANSACTIONS WITH FIDUCIARIESTRADITIONAL IRAMERGERS AND ACQUISITIONS OF FIRMSEXAMSNONISSUER TRANSACTIONSECONOMIC POLICYTHE UNIFORM PRUDENT INVESTORS ACT OF 1994ACTIONS BY THE STATE SECURITIES ADMINISTRATORCREDIT RISKADVERTISING AND SALES LITERATURERENEWING REGISTRATIONSFISCAL POLICYVESTINGFUNDINGLEADING INDICATORSLOANSSELL STOP ORDERSMANIPULATIVE AND DECEPTIVE DEVICESCOMMUNICATIONSPECULATIONSecurities Registration, Exempt Securities, and Exempt TransactionsBETAFINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)STOP ORDERS/STOP LOSS ORDERSWITHDRAWAL OF A REGISTRATIONROTH IRAEXTENSION OF CREDITEconomic FundamentalsSECURITIES REGISTRATIONINTERNAL RATE OF RETURNINHERITED AND GIFTED SECURITIESFULCRUM FEESDIRECT INVESTMENTVARIABLE LIFENONISSUERPERIODIC PAYMENT PLANSISSUERFINRA RULE 2210 COMMUNICATIONS WITH THE PUBLICCUSTOMER COVERAGE(K) THRIFT PLANSLEGISLATIVE RISKOPTION CONTRACTSSELL LIMIT ORDERSBUY LIMIT ORDERSVARIABLE ANNUITY VS. MUTUAL FUNDPRIVATE INVESTMENT COMPANIES/HEDGE FUNDSALTERNATIVE MINIMUM TAX (AMT)DEFERRED COMPENSATION PLANSPUBLIC EDUCATIONAL INSTITUTIONS (403B)JURISDICTION OF THE STATE SECURITIES ADMINISTRATORSEC DISCLAIMERTHE UNIFORM SECURITIES ACTUNSOLICITED ORDERSINVESTIGATIONSEXEMPT SECURITIESVariable Annuities, Retirement Plans, and Life InsuranceAGENCY CROSS TRANSACTIONSTRANSACTIONS WITH FINANCIAL INSTITUTIONSADMINISTRATOR'S JURISDICTION OVER SECURITIES TRANSACTIONSALPHAPREMIUMS AND DEATH BENEFITSCONTRIBUTIONSCONTUMACYACCUMULATION UNITSPREORGANIZATION CERTIFICATESFIDELITY BONDEMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA)PRIVATE PLACEMENTS/ REGULATION D OFFERINGSLIFE WITH PERIOD CERTAINREGISTRATION THROUGH NOTICE FILINGANNUITY PURCHASE OPTIONSREGISTRATION OF BROKER DEALERSRETIREMENT PLANSBLIND RECRUITING ADSDONATING SECURITIES TO CHARITYRECOMMENDING MUTUAL FUNDSDISINTERMEDIATIONTHE SECURITIES ACT OF 1933FEDERALLY COVERED EXEMPTIONRULE 147 INTRASTATE OFFERINGSTATUTE OF LIMITATIONSDISCLOSURE OF CLIENT INFORMATIONFUNDAMENTAL ANALYSISCHANGES IN AN AGENT'S EMPLOYMENTINVESTMENT ADVISERS ACT OF 1940THE NATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996 (THE COORDINATION ACT)REGISTRATION OF NONESTABLISHED ISSUERS/ REGISTRATION THROUGH QUALIFICATIONPEAKCAPITAL REQUIREMENTSROLLING OVER A PENSION PLANNATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996INSTITUTIONAL COMMUNICATIONSROLLOVERINFLATION/DEFLATIONVARIABLE UNIVERSAL LIFE/ UNIVERSAL VARIABLE LIFETOOLS OF THE FEDERAL RESERVE BOARDIRA CONTRIBUTIONSSALE/SELLAVERAGE COSTTOMBSTONE ADSREAL GDPINVESTMENT MANAGEMENT FEERegistration of Broker Dealers, Investment Advisers, and AgentsTIME VALUE OF MONEYMISREPRESENTATIONSUNAUTHORIZED TRADINGSEP IRA TAXATIONBUY STOP ORDERSCOMBINATION ANNUITYRETAIL COMMUNICATIONS/COMMUNICATIONS WITH THE PUBLICPROFIT SHARING PLANSLIQUIDITY RISKBONUS ANNUITYFEDERAL OPEN MARKET COMMITTEEGENERIC ADVERTISINGTRANSACTIONS IN MORTGAGE-BACKED SECURITIESTHE FINAL PROSPECTUSTYPES OF PLANSDISCLOSURES BY AN INVESTMENT ADVISERDEFINED CONTRIBUTION PLANADMINISTRATIVE ORDERSEXPENSE RISK FEEMARKET RISKEXEMPTION FROM THE TELEPHONE CONSUMER PROTECTION ACT OF 1991WITHHOLDING TAXState Securities Administrators and the Uniform Securities ActINTERPRETIVE OPINIONSFIREWALLM2PLEDGESCANCELLATION OF A REGISTRATIONNONSYSTEMATIC RISKOFFERS TO EXISTING SECURITIES HOLDERSDEDUCTING CAPITAL LOSSESTHE PROSPECTUSRIGHT OF RESCISSIONTHE INSIDER TRADING AND SECURITIES FRAUD ENFORCEMENT ACT OF 1988RESERVE REQUIREMENTM3CONSUMER PRICE INDEX (CPI)INVESTMENT ADVISER REPRESENTATIVETHE SECURITIES AND EXCHANGE COMMISSION (SEC)FAIR DEALINGS WITH CLIENTSEXPECTED RETURNNET CAPITAL REQUIREMENTPRIVATE INVESTMENT IN A PUBLIC EQUITY (PIPE)INVESTMENT TAXATIONCustomer Recommendations, Professional Conduct, and TaxationBORROWING AND LENDING MONEYACTIONS AGAINST AN ISSUER OF SECURITIESSOFT DOLLARSBENEFICIARIESSINGLE-PAYMENT DEFERRED ANNUITYFINANCIAL REQUIREMENTSFRAUDGROWTHIRA INVESTMENTSCORPORATE PLANSSELLING DIVIDENDSMORTALITY RISK FEETHE SECURITIES EXCHANGE ACT OF 1934TRANSFERSALES CHARGESSALES CHARGESLIFE SETTLEMENTSVARIABLE POLICY FEATURESFORM ADVLIFE ONLY/STRAIGHT LIFETAX STRUCTURESECURITIES INVESTOR PROTECTION CORPORATION ACT OF 1970 (SIPC)TAX-SHELTERED ANNUITIES/TAX-DEFERRED ACCOUNTINVESTMENT ADVISER STATE REGISTRATIONEDUCATIONAL IRA-DAY FREE LOOKASSUMED INTEREST RATEANNUITY PAYOUT OPTIONSEMPLOYEE STOCK OWNERSHIP PLANS/ESOPBROCHURE DELIVERYUNIVERSAL LIFERECESSIONLAGGING INDICATORSINDIRECT INVESTMENTVARIABLE ANNUITYREGISTRATION OF IPOs THROUGH COORDINATIONMISLEADING COMMUNICATIONSFREE SERVICESPRIVATE INVESTMENT COMPANYCORRESPONDENCESTATE INVESTMENT ADVISER REGISTRATIONCAPITAL RISKTHE TELEPHONE CONSUMER PROTECTION ACT OF 1991EXPANSIONISOLATED NONISSUER TRANSACTIONSRULE CHANGESIT IS UNWISE TO PUT A MUNICIPAL BOND IN AN IRACORPORATE DIVIDEND EXCLUSIONCONTRACT EXCHANGEINDIVIDUAL PLANSCONTRIBUTIONSTRUSTSMORAL SUASIONNET PRESENT VALUEOFFER/OFFER TO SELL/OFFER TO BUYCALL OPTIONSTHE ROLE OF THE INVESTMENT ADVISERGUARANTEESCOINCIDENT INDICATORSTESTIMONIALSRETAIL COMMUNICATIONSIMPLIFIED EMPLOYEE PENSION IRA (SEP IRA)SHARE IDENTIFICATIONINSTITUTIONAL INVESTORINTEREST RATE RISKREINVESTMENT RISKTHE SECURITIES ACTS AMENDMENTS OF 1975INVESTMENT ADVISERMISREPRESENTATIONSMODERN PORTFOLIO THEORYVOTINGNONPROFIT ORGANIZATIONS/TAX-EXEMPT ORGANIZATIONS (501C3)ACCREDITED INVESTOROPPORTUNITY RISKTAX BENEFITSNON-QUALIFIED CORPORATE RETIREMENT PLANSINDIVIDUAL RETIREMENT ACCOUNTS (IRAs)GUARANTEE/GUARANTEEDPAYROLL DEDUCTIONSADDITIONAL ROLES OF INVESTMENT ADVISERSTYPES OF ADVISORY CLIENTSMONEY SUPPLYESTATE TAXESECONOMIC INDICATORSPARTICIPATIONPERIODIC-PAYMENT DEFERRED ANNUITYQUALIFIED PLANSFACTORS AFFECTING THE SIZE OF THE ANNUITY PAYMENTGROSS DOMESTIC PRODUCTTAXATION OF INTEREST INCOMESINGLE-PAYMENT IMMEDIATE ANNUITYPUBLIC UTILITIES HOLDING COMPANY ACT OF 1935CONTRACTIONMARKET ORDERSERISA 404C SAFE HARBOREFFICIENT MARKET THEORYANALYSISIRA ACCOUNTSSECONDARY MARKET ORDERSCHURNINGTHE BALANCE SHEETCALL RISKBLANKET RECOMMENDATIONSCIVIL AND CRIMINAL PENALTIESLIFE INSURANCEDEVELOPING THE CLIENT PROFILESECURITYM1EMPLOYER CONTRIBUTIONSCOST BASE OF MULTIPLE PURCHASESREGISTERING AGENTSINVESTMENT COMPANY ACT OF 1940THE ASSUMED INTEREST RATE (AIR)REGULATION A OFFERINGSFIFOQUALIFIED PURCHASERLIQUIDITYTROUGHINVESTMENT ADVISER REPRESENTATIVESecurities Industry Rules and RegulationsINTERNATIONAL MONETARY CONSIDERATIONSANNUITIES
 
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