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A short course of lectures
«EXAM REVIEW 2015»





WITHDRAWAL OF A REGISTRATIONDISCLOSURES BY AN INVESTMENT ADVISERFINANCIAL REQUIREMENTSFULCRUM FEESCONTRIBUTIONSPROFESSIONAL CONDUCT BY INVESTMENT ADVISERSSEP IRA TAXATIONINVESTIGATIONSAGENCY CROSS TRANSACTIONSTHE BALANCE SHEETEMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 (ERISA)MORTALITY RISK FEEEXAMSTHE UNIFORM SECURITIES ACTVARIABLE POLICY FEATURESCAPITALIZATIONDIRECT INVESTMENTTHE NATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996 (THE COORDINATION ACT)LOCAL GOVERNMENT INVESTMENT POOLS (LGIPs)LIFE INSURANCEEXPECTED RETURNLAGGING INDICATORSANALYSISCAPITAL RISKTAXES ON FOREIGN SECURITIESTHE SECURITIES ACTS AMENDMENTS OF 1975NONISSUERCUSTOMER COMPLAINTSTHE UNIFORM PRUDENT INVESTORS ACT OF 1994PUBLIC EDUCATIONAL INSTITUTIONS (403B)CAPITAL REQUIREMENTSOPPORTUNITY RISKTRANSACTIONS WITH UNDERWRITERSCOST BASE OF MULTIPLE PURCHASESSIMPLIFIED EMPLOYEE PENSION IRA (SEP IRA)EXEMPT SECURITIESCHANGING THE DISCOUNT RATETESTIMONIALSANNUITY PAYOUT OPTIONSRETIREMENT PLANSPUT OPTIONSSECONDARY MARKET ORDERSMISREPRESENTATIONSGUARANTEESINVESTMENT ADVISER REPRESENTATIVEINCOMEISOLATED NONISSUER TRANSACTIONSLIQUIDITY RISKJOINT WITH LAST SURVIVOREQUITY-INDEXED ANNUITIESPENSION CONSULTANTSDEVELOPING THE CLIENT PROFILETHE TELEPHONE CONSUMER PROTECTION ACT OF 1991BETAFUNDAMENTAL ANALYSISUNIVERSAL LIFEADDITIONAL COMPENSATION FOR AN INVESTMENT ADVISERNONSYSTEMATIC RISKISSUERADMINISTRATIVE RECORDSEMPLOYEE STOCK OWNERSHIP PLANS/ESOPCONTUMACYRULE CHANGESGROWTHPUBLIC UTILITIES HOLDING COMPANY ACT OF 1935OFFERS TO EXISTING SECURITIES HOLDERSPRIVATE PLACEMENTS/ REGULATION D OFFERINGSRISK VS. REWARDADMINISTRATOR'S JURISDICTION OVER SECURITIES TRANSACTIONSVARIABLE ANNUITYFAIR DEALINGS WITH CLIENTSANNUITIESDEDUCTING CAPITAL LOSSESSALE/SELLPREMIUMS AND DEATH BENEFITSREGISTRATION OF NONESTABLISHED ISSUERS/ REGISTRATION THROUGH QUALIFICATIONOFFER/OFFER TO SELL/OFFER TO BUYINVESTMENT OBJECTIVESFRAUDQUALIFIED PLANSFUTURES AND FORWARDSEXPENSE RISK FEEPLAN PARTICIPATIONRECESSIONSHARE IDENTIFICATIONTHE FINAL PROSPECTUSMORAL SUASIONREGISTRATION OF BROKER DEALERSANNUITY PURCHASE OPTIONSKEOGH PLANS (HR-10)NONPROFIT ORGANIZATIONS/TAX-EXEMPT ORGANIZATIONS (501C3)STATE INVESTMENT ADVISER REGISTRATIONTHE INSIDER TRADING AND SECURITIES FRAUD ENFORCEMENT ACT OF 1988BUY STOP ORDERSDEATH OF AN IRA OWNER-DAY FREE LOOKVOTINGPLANSEXPANSIONTHE SECURITIES AND EXCHANGE COMMISSION (SEC)THE ROLE OF THE INVESTMENT ADVISERTAXATIONLIFE ONLY/STRAIGHT LIFEEconomic FundamentalsPAYROLL DEDUCTIONSQUALIFIED PURCHASERVESTINGNONISSUER TRANSACTIONSLOANSADMINISTRATIVE ORDERSTYPES OF ADVISORY CLIENTSState Securities Administrators and the Uniform Securities ActDEFINED CONTRIBUTION PLANMODERN PORTFOLIO THEORYCAPITAL ASSET PRICING MODEL (CAPM)AGENTINSTITUTIONAL INVESTORPERSONWHOLE LIFEPLEDGESUNSOLICITED ORDERSECONOMIC POLICYRegistration of Broker Dealers, Investment Advisers, and AgentsINVESTMENT TAXATIONTROUGHBONUS ANNUITYADVERTISING AND SALES LITERATURETAXATION OF INTEREST INCOMEINVESTMENT ADVISERBLIND RECRUITING ADSSEC DISCLAIMERNON-QUALIFIED CORPORATE RETIREMENT PLANSINDIRECT INVESTMENTTRADITIONAL IRAPERIODIC PAYMENT PLANSLIFE SETTLEMENTSTYPES OF PLANSPARTICIPATIONMERGERS AND ACQUISITIONS OF FIRMSINVESTMENT COMPANY ACT OF 1940VARIABLE UNIVERSAL LIFE/ UNIVERSAL VARIABLE LIFEM1RETAIL COMMUNICATIONS/COMMUNICATIONS WITH THE PUBLICCHURNINGSECURITIES INVESTOR PROTECTION CORPORATION ACT OF 1970 (SIPC)EXEMPT TRANSACTIONSBENEFICIARIESTRANSFERSOFT DOLLARSJURISDICTION OF THE STATE SECURITIES ADMINISTRATORIRA CONTRIBUTIONSMARKET RISKSOLICITORM2DEFINED BENEFIT PLANROLLOVEROMITTING MATERIAL FACTSCOMBINATION ANNUITYINVESTMENT ADVISER REPRESENTATIVETHE SECURITIES EXCHANGE ACT OF 1934REGISTERING AGENTSADDITIONAL ROLES OF INVESTMENT ADVISERSTRUSTSPEAKPREORGANIZATION CERTIFICATESEXEMPTION FROM THE TELEPHONE CONSUMER PROTECTION ACT OF 1991LEGISLATIVE RISKROLLOVER VS. TRANSFERREINVESTMENT RISKCOINCIDENT INDICATORSDefinition of TermsALTERNATIVE MINIMUM TAX (AMT)MISREPRESENTATIONSINVESTMENT ADVISERS ACT OF 1940VARIABLE LIFEFIXED ANNUITYPRIVATE INVESTMENT IN A PUBLIC EQUITY (PIPE)STATUTE OF LIMITATIONSPERIODIC-PAYMENT DEFERRED ANNUITYRULE 147 INTRASTATE OFFERINGSELL LIMIT ORDERSTIME VALUE OF MONEYFINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)FIFORENEWING REGISTRATIONSNET CAPITAL REQUIREMENTTHE SECURITIES ACT OF 1933MONEY SUPPLYSELL STOP ORDERSINTERNAL RATE OF RETURNEDUCATIONAL IRAIRA INVESTMENTSNET PRESENT VALUEBORROWING AND LENDING MONEYCREDIT RISKSECURITIES REGISTRATIONLIQUIDITYFIDELITY BONDPRIVATE INVESTMENT COMPANYESTATE TAXESINSTITUTIONAL COMMUNICATIONSCALCULATING GAINS AND LOSSESFEDERAL OPEN MARKET COMMITTEEGENERIC ADVERTISINGOPTION CONTRACTSTIMING RISKACTIONS BY THE STATE SECURITIES ADMINISTRATOR(K) THRIFT PLANSDONATING SECURITIES TO CHARITYFIREWALLCHANGES IN AN AGENT'S EMPLOYMENTGROSS DOMESTIC PRODUCTCONTRACT EXCHANGEROTH IRAEFFICIENT MARKET THEORYINTERPRETIVE OPINIONSSecurities Industry Rules and RegulationsCONSUMER PRICE INDEX (CPI)THE TRUST INDENTURE ACT OF 1939AGENT REGISTRATIONBROKER DEALERINVESTMENT POLICY STATEMENTSECURITYSecurities Registration, Exempt Securities, and Exempt TransactionsTAX TREATMENT OF DISTRIBUTIONSRESERVE REQUIREMENTREAL GDPWRAP ACCOUNTSACCREDITED INVESTORDEPRESSIONFISCAL POLICYROLLING OVER A PENSION PLANRIGHT OF RESCISSIONLIFE WITH PERIOD CERTAINM3FORM ADVIRA ACCOUNTSALPHACORRESPONDENCEBLANKET RECOMMENDATIONSINTERNATIONAL MONETARY CONSIDERATIONSINVESTMENT ADVISER CONTRACTSCORPORATE DIVIDEND EXCLUSIONPRESERVATION OF CAPITALTHE ASSUMED INTEREST RATE (AIR)FREE SERVICESTOMBSTONE ADSCIVIL AND CRIMINAL PENALTIESMANIPULATIVE AND DECEPTIVE DEVICESINTEREST RATE RISKTAX BENEFITSINDIVIDUAL RETIREMENT ACCOUNTS (IRAs)SINGLE-PAYMENT DEFERRED ANNUITYWITHHOLDING TAXCANCELLATION OF A REGISTRATIONEXTENSION OF CREDITLEADING INDICATORSCALL OPTIONSSELLING DIVIDENDSGUARANTEE/GUARANTEEDACCUMULATION UNITSACTIONS AGAINST AN ISSUER OF SECURITIESGIFT TAXESINHERITED AND GIFTED SECURITIESBROCHURE DELIVERYREGISTRATION OF IPOs THROUGH COORDINATIONDEFERRED COMPENSATION PLANSEXEMPT SECURITIES/FEDERALLY COVERED EXEMPTIONFINRA RULE 2210 COMMUNICATIONS WITH THE PUBLICCONTRACTIONIT IS UNWISE TO PUT A MUNICIPAL BOND IN AN IRAINVESTMENT MANAGEMENT FEEPRIVATE INVESTMENT COMPANIES/HEDGE FUNDSSPECULATIONECONOMIC INDICATORSSTOP ORDERS/STOP LOSS ORDERSTRANSACTIONS WITH FINANCIAL INSTITUTIONSVARIABLE ANNUITY VS. MUTUAL FUNDRETAIL COMMUNICATIONSINGLE-PAYMENT IMMEDIATE ANNUITYFUNDINGREGULATION A OFFERINGSINVESTMENT ADVISER STATE REGISTRATIONAVERAGE COSTCustomer Recommendations, Professional Conduct, and TaxationTAX-SHELTERED ANNUITIES/TAX-DEFERRED ACCOUNTCONTRIBUTIONSNATIONAL SECURITIES MARKET IMPROVEMENT ACT OF 1996DISCLOSURE OF CLIENT INFORMATIONCOMMUNICATIONCALL RISKMARKET ORDERSTRANSACTIONS IN MORTGAGE-BACKED SECURITIESERISA 404C SAFE HARBORPROFIT SHARING PLANSTAX STRUCTUREFACTORS AFFECTING THE SIZE OF THE ANNUITY PAYMENTVariable Annuities, Retirement Plans, and Life InsuranceEMPLOYER CONTRIBUTIONSTOOLS OF THE FEDERAL RESERVE BOARDBUY LIMIT ORDERSINFLATION/DEFLATIONSALES CHARGESFEDERALLY COVERED EXEMPTIONINDIVIDUAL PLANSANNUITY UNITSREGISTRATION THROUGH NOTICE FILINGMISLEADING COMMUNICATIONSCANADIAN FIRMS AND AGENTSUNAUTHORIZED TRADINGCORPORATE PLANSDISINTERMEDIATIONWASH SALESCUSTOMER COVERAGESALES CHARGESTHE PROSPECTUSRECOMMENDING MUTUAL FUNDSTRANSACTIONS WITH FIDUCIARIESASSUMED INTEREST RATE
 
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