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DOWNLOAD SERIES 24 STUDY SYLLABUS

DOWNLOAD SERIES 24 WORKBOOK

INVESTMENT BANKING

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

Investment Bank - Compensations, M&A, Misc

SALES SUPERVISION

Sales Supervision - Becoming a Finra Member

Sales Supervision - Registration of Personel

Sales Supervision - Other Finra Rules

Sales Supervision - Finra Communications Rules

Sales Supervision - Supervising Sales

Sales Supervision - Research Report Rules

Sales Supervision - Conduct Rules

Sales Supervision - Uniform Practice Code

Sales Supervision - Dispute Procedures

Customer Accounts & Margin 

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

Investment Co/Annuities/Retirements 

What is an Investment Company?

Who run an Investment Company?

Investment Company Info to Investors

Open End Funds Part 1

Open End Funds Part 2

Types of Funds

Accumulation and Withdrawl Plans

Other Types of Investment Companies

Annuities

Retirements

Other Tax Advantaged Savings

TRADING MARKETS

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 - Regulation NMS/ATS

Trading Markets - 21A

Trading Markets - 3rd Market

Trading Markets - OTCBB/PINK

Trading Markets - Trade Reporting & 5% Markup Policy

Net Capital and Record keeping

 

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