Mastering Series 24: General Securities Principal Exam Prep
Author:   Innoware Pjp
Publisher:   Independently Published
ISBN:  

9798857460375


Pages:   82
Publication Date:   14 August 2023
Format:   Paperback
Availability:   In Print   Availability explained
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Mastering Series 24: General Securities Principal Exam Prep


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Overview

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

Full Product Details

Author:   Innoware Pjp
Publisher:   Independently Published
Imprint:   Independently Published
Dimensions:   Width: 15.20cm , Height: 0.40cm , Length: 22.90cm
Weight:   0.122kg
ISBN:  

9798857460375


Pages:   82
Publication Date:   14 August 2023
Audience:   General/trade ,  General
Format:   Paperback
Publisher's Status:   Active
Availability:   In Print   Availability explained
This item will be ordered in for you from one of our suppliers. Upon receipt, we will promptly dispatch it out to you. For in store availability, please contact us.

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