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Pass the 66 - The Book - 2nd Edition

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Pass the 66 - The Book - 2nd Edition

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$69.95

Quick Overview

A Training Guide for the NASAA Series 66 Exam
(401 pages, including two complete practice exams with 100 questions each)

Robert Walker, a professional trainer who specializes in the FINRA/NASAA Series 63, 65, 66, 6, and 7 exams, has written this book for those who are about to brave the Series 65 examination. Walker takes the exam apart piece by piece, and explains terms and concepts with humor and ease.
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Product Description


A Training Guide for the NASAA Series 66 Exam

NASAA UNIFORM COMBINED STATE LAW EXAM
The Series 66 license qualifies one as both a securities agent and as an investment advisor representative.

This fully updated 2010 edition provides you with exactly what you need to pass the Series 66!



This must-have resource, 416 pages long, guides you through the intricacies of the Series 66 exam. The book takes the exam apart piece by piece, and explains terms and concepts with a sense of humor and ease not found in other exam guides. Learn, step-by-step, how not to be misled by the questions.







Contents at a Glance


Chapter 1:

Investment Analysis, Recommendations, and Strategies

Investing in Your Future

Client Profiles

Investment Risks

Investment Styles

Quantitative Methods to Evaluate Investments

Taxation

Annuities, Insurance, Retirement Plans

Fiduciary Responsibility—Uniform Prudent Investor Act

Trading & Settlement

Cash and Margin Accounts



Chapter 2:

Legal & Regulatory Guidelines — Business Practices

Investment Advisers

Types of Investment Advisory Businesses

Business Practices for Investment Advisers, IARs

NASAA Model Rule

IA Registration Process

Exclusions, Exemptions

SEC Release IA-1092

Federal Securities Acts

The Uniform Securities Act


Glossary

Pass the 66 Checklist

Practice Final 1—Series 66

Practice Final 1—Answers

Practice Final 2—Series 66

Practice Final 2 Answers—Series 66

Detailed Contents

Excerpt from the book

Additional Information

Condition new

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