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DOWNLOAD SERIES 9/10 STUDY SYLLABUS FOR ONLINE CLASS

Regulations (10)

Creating a New Issue and the Securities Act of 1933
Marketing a New Issue
Exemptions from Registration
Securities Exchange Act of 1934

Customer Accounts & Margin (9&10)

Customer Accounts
Other Accounts
Anti Money Laundering
Intro to Margin
Long Map of Margin
Short Map of Margin
Misc. Margin

Options Basics (9)

Options Basics

Options Problem Solving # 1

Options Problem Solving # 2

Options Advanced (9)

Straddles

Spreads

Other Types of Options

Options Exchanges

Investment Companies/Annuities/Retirements  (10)

What is an Investment?

Open End Investment Companies

Why buy investment companies?

Other Types of Investment Companies

Annuities

Retirements

Municipal Bonds (10)

Intro to Munis
General Obligation Bonds
Revenue Bonds
Other Types of Munis
The MSRB
Muni Underwriting
Muni Bond Info
Muni Bond Secondary Market

TRADING MARKETS (10)

Trading Markets - Introduction

Trading Markets - Floor of the NYSE

Trading Markets - Types of Orders

Trading Markets - Corporate Actions

Trading Markets - Circuit Breakers

Trading Markets - Intro to Nasdaq

Trading Markets - More Nasdaq

Trading Markets - 3rd Market

Trading Markets - OTCBB/PINK

Trading Markets - Trade Reporting & 5% Markup Policy

FINRA RULES (9/10)

Becoming a Finra Member

Registration of Personel

Other Finra Rules

Finra Communications Rules

Supervising Sales

Conduct Rules

Uniform Practice Code

Dispute Procedures

CUSTOMER PROTECTION & RECORDKEEPING (10)

Net Capital and Record keeping

 

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