Cover image for PassTrak series 63 : uniform securities agent state law exam : license exam manual.
Title:
PassTrak series 63 : uniform securities agent state law exam : license exam manual.
Author:
Dearborn Financial Institute.
Edition:
Sixteenth edition.
Publication Information:
Chicago, Ill. : Dearborn Financial Institute, [2001]

©2001
Physical Description:
xx, 192 pages ; 28 cm
General Note:
Includes index.
Language:
English
Added Corporate Author:
ISBN:
9780793151004
Format :
Book

Available:*

Library
Call Number
Material Type
Home Location
Status
Item Holds
Searching...
KF1071.Z9 P37 2001 Civil Service and Exam Books Popular Materials-Civil Service
Searching...
Searching...
KF1071.Z9 P37 2001 Civil Service and Exam Books Popular Materials-Civil Service
Searching...

On Order

Table of Contents

Contentsp. iii
Acknowledgmentsp. vii
Introduction to Passtrak Series 63p. ix
Successful Test-Taking Tipsp. xiv
Overview of Securities Lawp. 1
Introductionp. 1
Learning Objectivesp. 1
Federal Securities Lawsp. 2
The Securities Act of 1933p. 2
The Securities Exchange Act of 1934p. 2
Public Utility Holding Company Act of 1935p. 3
Maloney Act of 1938p. 3
Trust Indenture Act of 1939p. 4
Investment Advisers Act of 1940p. 4
Investment Company Act of 1940p. 4
Securities Investor Protection Act of 1970p. 4
Insider Trading and Securities Fraud Enforcement Act of 1988p. 4
Telephone Consumer Protection Act of 1991p. 5
National Securities Markets Improvement Act of 1996p. 5
Lesson 1 HotSheetp. 9
Definition of Termsp. 11
Introductionp. 11
Learning Objectivesp. 11
Terms Defined Specifically in the USAp. 12
Miscellaneous Termsp. 26
Lesson 2 HotSheetp. 29
Lesson Examp. 31
Registration of Personsp. 35
Introductionp. 35
Learning Objectivesp. 35
State Registration of Broker-Dealers and Agentsp. 36
State Registration of Investment Advisersp. 45
Exemptions from State Registrationp. 46
State Registration Procedurep. 48
Post-Registration Requirementsp. 50
Lesson 3 HotSheetp. 54
Lesson Examp. 57
Registration of Securities and Exemptionsp. 61
Introductionp. 61
Learning Objectivesp. 61
State Registration of New Issuesp. 62
Types of Securities Registrationsp. 62
State Registration Provisionsp. 66
Securities Exempt from State Registrationp. 67
Lesson 4 HotSheetp. 74
Lesson Examp. 75
Fraudulent and Other Prohibited Practicesp. 79
Introductionp. 79
Learning Objectivesp. 79
Ethical Behaviorp. 80
General Antifraud Provisions of the Uniform Securities Actp. 80
Practices Prohibited of All Securities Professionalsp. 81
Investment Advisory Activitiesp. 87
Lesson 5 HotSheetp. 94
Lesson Examp. 96
Regulatory Scope of the Actp. 105
Introductionp. 105
Learning Objectivesp. 105
Denial, Suspension, or Revocation of Registrationp. 106
Lesson 6 HotSheetp. 115
Lesson Examp. 116
Practice Final Ap. 119
Practice Final Bp. 131
Practice Final Cp. 145
Practice Final Dp. 161
Indexp. 189
Lesson 1 HotSheetp. 193
Lesson 2 HotSheetp. 195
Lesson 3 HotSheetp. 197
Lesson 4 HotSheetp. 199
Lesson 5 HotSheetp. 201
Lesson 6 HotSheetp. 203