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Series 6 & 63 Investment Company Representative and Uniform
Securities Textbooks & Software Complete Package

Description:    Includes...

                -   The   Comprehensive Series 6 Textbook
                -   The   Series 6 Exam Prep Software!
                -   The   Comprehensive Series 63 Textbook
                -   The   Series 63 Exam Prep Software!


                Series 6 Exam: Investment Company Representative Textbook

                This exam is administered by The Financial Industry Regulatory Authority (FINRA). Upon successful
                completion of the Series 6, an individual will have the qualifications needed to sell mutual funds
                and variable annuities.

                Exam Prep Software for series 6:

                Over 1200 Questions! Over 350 Brand New Test Proven Questions!


                The Series 63 Textbook:

                This exam is administered by NASAA, The North American Securities Administrators Association.
                Upon successful completion of the Series 63, an individual will have the qualifications needed to
                conduct securities business in various states.

                Exam Prep Software for series 63:

                Hundreds of Questions!



Contents:       Chapter One - Securities Markets, Investment Risks, and Policies
                - Introduction
                - What Is a Security?
                - Equity = Stock
                - Debt = Bonds
                - Capitalization
                - The Balance Sheet Equation
                - Assets
                - Liabilities
                - Net Worth
                - Common Stock
                - Corporate Time Line
                - Authorized Stock
                - Issued Stock
                - Outstanding Stock
                - Treasury Stock
                - Values of Common Stock
                - Book Value
                - Par Value
                - Rights of Common Stockholders
                - Preemptive Rights
                - Exercised
                - Sold
                - Expire
-   Voting
-   Methods of Voting
-   Limited Liability
-   Inspection of Books and Records
-   Residual Claim to Assets
-   Why Do People Buy Common Stock?
-   Capital Appreciation/Growth
-   Income
-   What Are the Risks of Owning Common Stock?
-   Dividends May Be Stopped or Reduced
-   Junior Claim on Corporate Assets
-   How Does Someone Become a Stockholder?
-   Trade Date
-   Settlement Date
-   Payment Date
-   Violation
-   Preferred Stock
-   Features of Preferred Stock
-   Par Value
-   Payment of Dividends
-   Distribution of Assets
-   Perpetual
-   Non-Voting
-   Interest Rate Sensitive
-   Types of Preferred stock
-   Straight/Non-Cumulative Preferred
-   Cumulative Preferred
-   Participating Preferred
-   Convertible Preferred
-   Callable Preferred
-   Types of Dividends
-   Cash
-   Stock
-   Property/Product
-   Dividend Distribution
-   Declaration Date
-   Ex dividend Date
-   Record Date
-   Payment Date
-   Stock Price and the Ex dividend Date
-   Taxation of Dividends
-   Selling Dividends
-   Rights and Warrants
-   Rights
-   Possible Outcomes for a Right
-   Exercised
-   Sold
-   Expire
-   Terms
-   Standby Underwriting
-   Warrants
-   How Do People Get Warrants?
-   Units
-   Attached to Bonds
-   Secondary Market
-   Possible Outcomes of a Warrant
-   Rights vs. Warrants
-   Options
-   Types of Options
-   Calls
-   Puts
-   Bullish vs. Bearish
-   Bullish
-   Bearish
-   Characteristics of All Options
-   Exercise Price 2
-   Buyer vs. Seller
-   Possible Outcomes for an Option
-   Exercised
-   Sold
-   Expire
-   American Depository Receipts (ADRs)/American Depository Shares (ADSs)
-   Currency Risks
-   Securities Markets
-   The Exchanges
-   Over the Counter/NASDAQ
-   Market Makers
-   Third Market
-   Fourth Market
-   Broker vs. Dealer
-   Debt Securities/Bonds
-   Types of Bonds
-   Corporate Bonds
-   The U.S. Government
-   U.S. Government Agencies
-   Municipal
-   Types of Bond Issuance
-   Bearer Bonds
-   Registered Bonds
-   Principal Only Registration
-   Fully Registered
-   Book Entry/Journal Entry
-   Bond Certificate
-   Bond Pricing
-   Par Value
-   Discount
-   Premium
-   Corporate Bond Pricing
-   Treasury Bond and Note Pricing
-   Treasury Bill Pricing
-   Municipal Bond Pricing
-   Bond Yields
-   Nominal Yield
-   Current Yield
-   Yield to Maturity
-   Yield to Maturity — Premium Bond
-   Yield to Maturity — Discount Bond
-   Types of Corporate Bonds
-   Secured Bonds
-   Types of Secured Bonds
-   Mortgage Bonds
-   Equipment Trust Certificates
-   Collateral Trust Certificates
-   Unsecured Bonds
-   Subordinated Debentures
-   Income/Adjustment Bonds
-   Zero Coupon Bonds
-   Convertible Bonds
-   Converting Bonds into Common Stock
-   Parity Price
-   The Trust Indenture Act of 1939
-   Treasury Bills, Notes, and Bonds
-   Treasury STRIP
-   Treasury Receipts
-   Non-Marketable Government Securities
-   Series EE
-   Series HH
-   Agency Issues
-   Types of Agency Issues
-   Government National Mortgage Association (GNMA)
-   Federal National Mortgage Association (FNMA)
-   Federal Home Loan Mortgage Corporation (FHLMC)
-   Collateralized Mortgage Obligation (CMO)
-   CMOs and Interest Rates
-   Municipal Bonds
-   Types of Municipal Bonds
-   General Obligation Bonds
-   Revenue Bonds
-   Industrial Revenue Bonds/Industrial Development Bonds
-   Taxation of Municipal Bonds
-   Legal Opinion
-   Municipal Bond Insurance
-   Tax Equivalent Yield
-   Purchasing a Municipal Bond Issued in the State in Which the Investor Resides
-   Triple Tax-Free
-   Capital Gains
-   The Money Market
-   Money Market Instruments
-   Corporate Money Market Instruments
-   Banker’s Acceptances
-   Negotiable Certificates of Deposit
-   Commercial Paper
-   Federal Fund Loans
-   Repurchase Agreements
-   Government Money Market Instruments
-   Interest Rates
-   Discount Rate
-   Federal Funds Rate
-   Broker Call Loan Rate
-   Prime Rate
-   Economics
-   Gross Domestic Product
-   Expansion
-   Peak
-   Contraction
-   Trough
-   Recession
-   Depression
-   Economic Policy
-   Tools of the Federal Reserve Board
-   Reserve Requirement
-   Changing the Discount Rate
-   Federal Open Market Committee
-   Moral Suasion
-   Fiscal Policy
-   The Consumer Price Index
-   Inflation/Deflation
-   Real GDP
-   International Monetary Considerations
-   Issuing Corporate Securities
-   Types of Underwriting Commitments
-   Firm Commitment
-   Best Efforts
-   Standby
-   Types of Offerings
-   Initial Public Offering (IPO)/New Issue
-   Subsequent Primary/Additional Issues
-   Primary Offering vs. Secondary Offering
-   Awarding the Issue
-   The Underwriting Syndicate
-   Selling Group
-   Underwriter’s Compensation
-   Management Fee
-   Underwriter’s Fee
-   Selling Concession
-   Underwriting Spread
-   Customer Suitability
-   Investment Objectives
-   Income
-   Growth
-   Preservation of Capital
-   Tax Benefits
-   Liquidity
-   Speculation
-   Risk vs. Reward
-   Capital Risk
-   Market Risk
-   Nonsystematic Risk
-   Legislative Risk
-   Timing Risk
-   Credit Risk
-   Reinvestment Risk
-   Call Risk
-   Liquidity Risk

-   Chapter Two - Investment Companies, Mutual Funds, New Accounts, and Taxes
-   Introduction
-   Investment Company Philosophy
-   Types of Investment Companies
-   Face Amount Company/Face Amount Certificates
-   Unit Investment Trust (UITs)
-   Management Investment Companies (Mutual Funds)
-   Open End vs. Closed End
-   Diversified vs. Non-Diversified
-   Investment Company Registration
-   Registration Requirements
-   Investment Company Components
-   Board of Directors
-   Investment Advisor
-   Custodian Bank
-   Transfer Agent
-   Mutual Fund Distribution
-   Selling Group Member
-   Distribution of No-Load Mutual Fund Shares
-   Distribution of Mutual Fund Shares
-   Mutual Fund Prospectus
-   A Mutual Fund Prospectus:
-   Characteristics of Open-End Mutual Fund Shares
-   Mutual Fund Investment Objectives
-   Equity Funds
-   Equity Income Fund
-   Sector Funds
-   Index Funds
-   Growth and Income (Combination Fund)
-   Balanced Funds
-   Asset Allocation Funds
-   Other Types of Funds
-   Bond Funds
-   Corporate Bond Funds
-   Government Bond Funds
-   Municipal Bond Funds
-   Money Market Funds
-   Money Market Guidelines
-   Valuing Mutual Fund Shares
-   Changes in the NAV
-   Increases in the NAV
-   Decreases in the NAV
-   No Effect on the NAV
-   Sales Charges
-   Open-End Funds
-   Closed-End Funds
-   Front-End Loads
-   Back-End Loads
-   Other Types of Sales Charges
-   12B-1 Fees
-   Limits of a 12B-1 Fee
-   Calculating a Mutual Fund’s Sales Charge Percentage
-   Finding the Public Offering Price
-   Sales Charge Reductions
-   Breakpoint Schedule
-   Letter of Intent
-   Back-Dating a Letter of Intent
-   Breakpoint Sales
-   Rights of Accumulation
-   Automatic Reinvestment of Distributions
-   Other Mutual Fund Features
-   Combination Privileges
-   Conversion or Exchange Privileges
-   30-Day Emergency Withdrawal
-   Taxation of Mutual Funds
-   Distribution of Capital Gains
-   Receiving and Reinvesting Distributions
-   Calculating Gains and Losses
-   Cost Base of Multiple Purchases
-   First In First Out
-   Share Identification
-   Average Cost
-   Deducting Net Capital Losses
-   Wash Sales
-   Other Tax Rules
-   Inherited Securities
-   Withholding Tax
-   Corporate Dividend Exclusion
-   Voting Rights
-   Mutual Fund Recommendations
-   Performance
-   Costs
-   Expense Ratio
-   Yields
-   Portfolio Turnover
-   Services
-   Taxation
-   Customer Accounts
-   Holding Securities
-   Transfer and Ship
-   Transfer and Hold in Safekeeping
-   Hold in Street Name
-   Mailing Instructions
-   Trading Authorization
-   Discretionary Account
-   Custodial Account
-   Fiduciary Account
-   Types of Accounts
-   Individual Accounts
-   Joint Account
-   Joint Tenants with Rights of Survivorship (JTWROS)
-   Joint Tenants in Common (JTIC)
-   Corporate Accounts
-   Operating a Discretionary Account
-   Managing Discretionary Accounts
-   Uniform Gifts to Minors Act
-   Responsibilities of the Custodian
-   Contributions of a UGMA Account
-   UGMA Taxation
-   Death of a Minor or Custodian
-   Uniform Transfer to Minors Act
-   Accounts for Employees of Other Broker Dealers
-   Purchasing Mutual Fund Shares
-   Lump Sum Deposit
-   Structured Accumulation Plans
-   Voluntary Accumulation Plans
-   Dollar Cost Averaging
-   Contractual Accumulation Plans
-   Sales Charges
-   45-Day Free Look
-   Withdrawal Plans
-   Fixed Dollar Amount
-   Fixed Share
-   Fixed Time
-   Fixed Percentage

-   Chapter Three - Variable Annuities, Variable Life Insurance, and Retirement Plans
-   Introduction
-   Annuities
-   Fixed Annuity
-   Variable Annuity
-   Direct Investment
-   Indirect Investment
-   Combination Annuity
-   Annuity Purchase Options
-   Single Payment Deferred Annuity
-   Single Payment Immediate Annuity
-   Periodic Payment Deferred Annuity
-   Accumulation Units
-   Annuity Units
-   Annuity Payout Options
-   Life Only/Straight Life
-   Life with Period Certain
-   Joint with Last Survivor
-   Factors Affecting the Size of the Annuity Payment
-   The Assumed Interest Rate (AIR)
-   Taxation
-   Types of Withdrawals
-   Annuitizing the Contract
-   Expenses and Guarantees
-   Mortality Expense Risk Fee
-   Operating Expense Risk Fee
-   Other Charges
-   Sales Charges
-   Investment Management Fees
-   Variable Annuity vs. Mutual Fund
-   Life Insurance
-   Whole Life
-   Variable Life
-   Universal Life
-   Variable Universal Life/Universal Variable Life
-   Premiums and Death Benefits
-   Mortality Risk Fee
-   Investment Management Fee
-   Expense Risk Fee
-   Assumed Interest Rate (AIR)
-   Variable Policy Features
-   45-Day Free Look
-   Loans
-   Contract Exchange
-   Voting
-   Sales Charges
-   Retirement Plans
-   Individual Plans
-   Individual Retirement Accounts (IRAs)
-   Traditional IRA
-   Roth IRA
-   Simplified Employee Pension IRA (SEP IRA)
-   Participation
-   Employer Contributions
-   SEP IRA Taxation
-   Educational IRA
-   529 Plans
-   IRA Contributions
-   IRA Accounts
-   IRA Investments
-   It Is Unwise to Put a Municipal Bond in an IRA
-   Rollover vs. Transfer
-   Rollover
-   Transfer
-   Keogh Plans (HR-10)
-   Contributions
-   Tax-Sheltered Annuities (TSAs )/Tax-Deferred Accounts (TDAs)
-   Public Educational Institutions (403B)
-   Non-Profit Organizations/Tax-Exempt Organizations (501C3)
-   Contributions
-   Tax Treatment of Distributions
-   Corporate Plans
-   Non-Qualified Corporate Retirement Plans
-   Payroll Deductions
-   Deferred Compensation Plans
-   Qualified Plans
-   Types of Plans
-   Defined Benefit Plan
-   Defined Contribution Plan
-   Profit Sharing Plans
-   401(k) Thrift Plans
-   Rolling Over a Pension Plan
-   Employee Retirement Income Security Act of 1974 (ERISA)
-   Plan Participation
-   Funding
-   Vesting
-   Communication
-   Beneficiaries

-   Chapter Four - Security Industry
-   Rules and Regulations
-   Introduction
-   Issuing Securities
-   The Prospectus
-   The Final Prospectus
-   SEC Disclaimer
-   Misrepresentations
-   Tombstone Ads
-   Free Riding and Withholding
-   The Securities Exchange Act of 1934
-   The Securities Exchange Commission (SEC)
-   Extension of Credit
-   The National Association of Securities Dealers (NASD)
-   The Rules of Fair Practice/Rules of Conduct
-   The Uniform Practice Code
-   The Code of Procedure
-   The Code of Arbitration
-   Becoming a Member of the NASD
-   Registration of Agents/Associated Persons
-   Disciplinary Actions Against a Registered Representative
-   Resignation of a Registered Representative
-   Termination for Cause
-   Retiring Representatives/Continuing Commissions
-   State Registration
-   Registration Exemptions
-   Persons Ineligible to Register
-   Advertising and Sales Literature
-   Advertising
-   Sales Literature
-   Blind Recruiting Ads
-   Generic Advertising
-   Tombstone Ads
-   Tombstone Ads Must Include:
-   Filing and Retention Requirements
-   Testimonials
-   Free Services
-   Misleading Advertising and Sales Literature
-   Securities Investor Protection Corporation Act of 1970 (SIPC)
-   Net Capital Requirement
-   Customer Coverage
-   Fidelity Bond
-   The Insider Trading and Securities Fraud Enforcement Act of 1988
-   Fire Wall
-   The Telephone Consumer Protection Act of 1991
-   Exemption from the Telephone Consumer Protection Act of 1991
-   Recommendations to Customers
-   Recommending Mutual Funds
-   Periodic Payment Plans
-   Mutual Fund Current Yield
-   Professional Conduct in the Securities Industry
-   The Role of the Principal
-   Fair Dealings with Customers
-   Churning
-   Manipulative and Deceptive Practices
-   Unauthorized Trading
-   Fraudulent Acts
-   Blanket Recommendations
-   Misrepresentations
-   Omitting Material Facts
-   Making Guarantees
-   Sharing in a Customer’s Account
-   Borrowing and Lending Money
-   Disclosure of Client Information
-   Numbered Accounts
-   Gift Rule
-   Outside Employment
-   Private Securities Transactions
-   Violations and Complaints
-   Resolution of Allegations
-   Summary Complaint Procedure/Acceptance Waiver and Con
-   Code of Arbitration
-   The Arbitration Process
-   Simplified Arbitration
-   Larger Disputes
-   Awards Under Arbitration
-   Annual Compliance Review
-   Currency Transactions
-   The Patriot Act
-   US Accounts
-   Foreign Accounts

Table of Contents for the Series 63 Uniform Securities Exam

Section One
-Federal Law Review
-Introduction
-The Securities Act of 1933
-The Prospectus
-The Final Prospectus
-SEC Disclaimer
-Misrepresentations
-The Securities Exchange Act of 1934
-The Securities Exchange Commission/SEC
-Extension of Credit
-Public Utilities Holding CompanyAct of 1935
-The Maloney Act of 1938/NASD
-The Trust Indenture Act of 1939
-Investment Advisors Act of 1940
-Investment Company Act of 1940
-Securities Investor Protection CorporationAct of 1970 (SIPC)
-Net Capital Requirement
-Customer Coverage
-Fidelity Bond
-The Insider Trading and Securities Fraud Enforcement Act of 1988
-Fire Wall
-The Telephone Consumer Protection Act of 1991
-Exemption from the Telephone Consumer Protection Act of 1991
-National Securities Market Improvement Act of 1996
-The Uniform Securities Act (also known as “USA” or “The Act”)

Section Two
-Definition of Terms
-Introduction
-Security
-Person
-Broker Dealer
-Agent
-Issuer
-Non-Issuer
-Investment Advisor
-Investment Advisor Representative
-Institutional Investor
-Accredited Investor
-Qualified Purchaser
-Private Investment Company
-Offer/Offer To Sell/Offer To Buy
-Sale/Sell
-Guarantee/Guaranteed
-Contumacy
-Federally Covered Exemption

Section Three
-Registration of Broker Dealers, Investment Advisors and Agents
-Introduction
-Registration of Broker Dealers
-Agent Registration
-Registering Broker Dealers
-Financial Requirements
-Registering Agents
-Changes in an Agent’s Employment
-Mergers and Acquisitions of Firms
-Renewing Registrations
-Canadian Firms and Agents
-Investment Advisor Registration
-The National Market Improvement Act of 1996/The Coordination Act
-Investment Advisor Representative
-Investment Advisor Registration
-Capital Requirements
-Exams
-Advertising and Sales Literature
-Brochure Delivery
-Wrap Accounts


Section Four
-Securities Registration, Exempt Securities and Exempt Transactions
-Introduction
-Exempt Securities
-Securities Registration
-Registration of IPO’s Through Coordination
-Registration of Established Issuers/Registration Through Filing or Notification
-Registration of Non-Established Issuers/Registration Through Qualification


-Exempt Securities Federally
-Covered Exemption
-Exempt Transactions
-Private Placements/Regulation D Offerings
-Transactions with Financial Institutions
-Transactions with Fiduciaries
-Transactions with Underwriters
-Unsolicited Orders
-Transactions in Mortgage Backed Securities
-Pledges
-Offers to Existing Securities Holders
-Offers Made Before the Registration Statement is Effective
-Pre-organization Certificates
-Isolated Non-issuer Transactions
-Non-issuer Transactions

Section Five
-Professional Conduct and Prohibited and Fraudulent Actions
-Introduction
-Fraud
-Professional Conduct
-Suitability
-Market Manipulation
-The Role of The Investment Advisor
-Additional Compensation For An Investment Advisor
-Agency Cross Transactions
-Disclosures By An Investment Advisor
-Investment Advisor Contracts
-Private Investment Companies/Hedge Funds 5

Section Six
-State Securities Administrator
-The Uniform Securities Act
-Introduction
-Actions By The State Securities Administrator
            -Cancellation of a Registration
            -Withdrawal of a Registration
            -Actions Against an Issuer of Securities
            -Rule Changes
            -Investigations
            -Civil and Criminal Penalties
            -Jurisdiction of the State Securities
            -Administrator
            -Introduction
            -Administrator’s Jurisdiction Over Securities
            -Transactions
            -Right of Rescission
            -Statute of Limitations


            PRETEST ANSWER KEY

            Section Two
            -Definition of Terms

            Section Three
            -Registration of Broker
            -Dealers, Investment
            -Advisors and Agents

            Section Four
            -Securities Registration,
            -Exempt Securities and
            -Exempt Transactions

            Section Five
            -Professional Conduct
            -and Prohibited and
            -Fraudulent Actions

            Section Six
            -State Securities
            -Administrator
            -The Uniform
            -Securities Act


            GLOSSARY OF EXAM TERMS



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