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
Mastering Series 24
- General Securities Principal Exam Prep
- Indbinding:
- Paperback
- Sideantal:
- 82
- Udgivet:
- 14. august 2023
- Størrelse:
- 152x229x4 mm.
- Vægt:
- 122 g.
- 2-3 uger.
- 12. december 2024
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- 1 valgfrit digitalt ugeblad
- 20 timers lytning og læsning
- Adgang til 70.000+ titler
- Ingen binding
Abonnementet koster 75 kr./md.
Ingen binding og kan opsiges når som helst.
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