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Mastering Series 24: General Securities Principal Exam Prep

Mastering Series 24: General Securities Principal Exam Prep - Paperback

by Innoware Pjp
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Availability:In StockContributor:Innoware PjpPublish date:2023-08-14Pages:82
Language:EnglishPublisher:Independently PublishedISBN-13:9798857460375ISBN-10:8857460371UPC:9798857460375Book Category:Business & EconomicsBook Subcategory:EducationSize:9.00 x 6.00 x 0.17 inchesWeight:0.2712Product ID:SC3Y1YY5F2
Mastering Series 24: General Securities Principal Exam Prep

Table of Contents

Chapter 1: Introduction to the Series 24 Exam.. 1
Chapter 2: Securities Industry Regulation. 6
Chapter 3: Supervision and Compliance. 11
Chapter 4: Registered Representative Supervision. 16
Chapter 5: Trading and Market Making Activities. 21
Chapter 6: Investment Banking and Corporate Financing. 26
Chapter 7: Customer Accounts and Suitability. 31
Chapter 8: Investment Company and Variable Contracts Products 36
Chapter 9: Direct Participation Programs (DPPs) and Real Estate Investment Trusts (REITs) 41
Chapter 10: Employee Benefits and Retirement Plans. 46
Chapter 11: Securities and Account Protection. 51
Chapter 12: Margin and Options Trading. 56
Chapter 13: Regulatory Requirements and Continuing Education 61
Chapter 14: Customer Complaints, Arbitration, and Dispute Resolution 66
Chapter 15: Supervisory Procedures and Responsibilities. 71

Language:EnglishPublisher:Independently PublishedISBN-13:9798857460375ISBN-10:8857460371UPC:9798857460375Book Category:Business & EconomicsBook Subcategory:EducationSize:9.00 x 6.00 x 0.17 inchesWeight:0.2712Product ID:SC3Y1YY5F2
Publisher: Independently Published

Contributor(s)

Innoware Pjp

Author

Innoware Pjp

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