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WILEY SERIES 55 EXAM REVIEW 2015 + TEST BANK

THE EQUITY TRADER QUALIFICATION EXAMINATION


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    Sinopse

    ABOUT THE SERIES 55 EXAM XI ABOUT THIS BOOK XV ABOUT THE TEST BANK XVII ABOUT THE SECURITIES INSTITUTE OF AMERICA XIX CHAPTER 1 ISSUING CORPORATE SECURITIES 1 The Prospectus 2 The Final Prospectus 3 Prospectus to Be Provided to Aftermarket Purchasers 4 SEC Disclaimer 4 Misrepresentations 4 Tombstone Ads 5 Free Riding and Withholding/FINRA Rule 5130 5 Underwriting Corporate Securities 7 Types of Underwriting Commitments 7 Market Out Clause 7 Types of Off erings 8 Awarding the Issue 9 The Underwriting Syndicate 9 Exempt Securities 9 Exempt Transactions 10 Private Investment in a Public Equity (PIPE) 13 Reverse Merger 14 Rule 137 Nonparticipants 15 Rule 138 Nonequivalent Securities 16 Rule 139 Issuing Research Reports 16 Rule 415 Shelf Registration 17 Securities Off ering Reform Rules 17 SEC Rule 405 18 Additional Communication Rules 19 Pretest 21 CHAPTER 2 THE SECURITIES MARKETPLACE 25 Types of Orders 25 Volume Weighted Average price (VWAP) Orders 28 The Exchanges 29 The Role of The Specialist/Designated Market Maker (DMM) 30 Short Sales 34 Reading the Consolidated Tape 39 Pretest 41 CHAPTER 3 TRADING OVER THE COUNTER AND NASDAQ SECURITIES 43 Market Makers 43 Nasdaq Subscription Levels 44 Registering as a Market Maker 45 Registering as a Market Maker in an OTC BB Security 45 Piggybacking a Quote 47 Nasdaq Quotes 48 Locked and Crossed Markets 49 Nominal Nasdaq Quotes 49 Payments for Market Making 49 Nasdaq Execution Systems 50 Order Entry Parameters 53 The Order Routing Process 54 Pegged Orders 55 The Alternative Display Facility (ADF) 55 Trade Reporting and Comparison Service (TRACS) 56 Advanced Computerized Execution System (ACES) 56 Electronic Communication Networks (ECNs) 57 Unlisted Trading Privileges 58 Market Centers 58 NonNasdaq OTC BB 61 Pink Sheets 62 Third Market 62 Nasdaq Market Center For Listed Securities 63 Fourth Market 63 Pretest 65 CHAPTER 4 MARKET MAKER RESPONSIBILITIES AND TRADE REPORTING 69 Times for Entering a Quote 69 Withdrawing Quotes 72 Handling and Displaying Customer Limit Orders 73 Interpositioning 77 Automated Confi rmation System (ACT) Market Center Trade Reporting Facility 77 Nasdaq Trade Reporting Facility (TRF) 83 Step Out Trades 83 Trading Halts 84 Market Making During Syndication 85 Syndicate Short Positions 90 Pricing of IPOs 90 Trade Reporting and Compliance Engine (TRACE) 91 Pretest 95 CHAPTER 5 COMMISSIONS AND TRADE COMPLAINTS 99 Broker vs. DEaler 99 FINRA 5% Markup Policy 100 Markups/Markdowns When Acting as a Principal 101 Riskless Principal Transactions 102 Proceeds Transactions 102 Dominated and Controlled Markets 102 Net Transactions with Customers 103 Protection of Customer Orders 104 Firm Quote Rule 104 Trade Complaints between Members 106 The Order Audit Trail System (OATS) 106 Electronic Blue Sheets 107 Pretest 109 CHAPTER 6 SECURITIES INDUSTRY RULES AND REGULATIONS 111 The Securities Exchange Act of 1934 111 The Securities Exchange Commission (SEC) 112 Trading Suspensions 113 Issuers Repurchasing Their Own Securities 113 Tender Off ers 114 Large Trader Reporting 116 Risk Management Controls 116 The Insider Trading and Securities Fraud Enforcement Act of 1988 117 Firewall 118 Nasdaq Listing Standards 118 The Penny Stock Cold Call Rule 119 Fair Dealings with Clients 120 The Uniform Practice Code 124 Prime Brokerage Accounts 128 Investment Advisors Act of 1940 130 Brochure Delivery 130 Wrap Accounts 130 Securities Investor Protection Corporation Act of 1970 131 Pretest 133 ANSWER KEYS 137 GLOSSARY OF EXAM TERMS 141 INDEX 207

    Detalhes do Produto

      • Ano de Edição: 2014
      • Ano:  2014
      • País de Produção: Germany
      • Código de Barras:  9781118856987
      • ISBN:  1118856988
      • Encadernação:  BROCHURA
      • Altura: 250.00 cm
      • Largura: 150.00 cm
      • Quantidade de Itens do Complemento:  0
      • Nº de Páginas:  240

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