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- State Law Overview

- Definition of a Security

- Registration of Securities

- Administrative Procedures

- Defnition of a Person

- Definition of BD & BD Agents

- Definition of IA & IA Reps

- Registration of Persons

- Investment Advisor Rules

- Other Rules

Equities and Regulations

Introduction to the Industry
Common Stock
Preferred Stock
Other Equities
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

Customer Accounts
Other Accounts
Anti Money Laundering

Options Basics

Options Basics

Options Problem Solving # 1

Options Problem Solving # 2

Investment Companies/Annuities/Retirements 

What is an Investment?

Open End Investment Companies

Why buy investment companies?

Other Types of Investment Companies



Intro Bonds

Intro to Bonds

In the Bond Indenture

Price/Yield Relationships Part 1 Part 2

Other Bond Info

Government Securities


Mortgage Backed Securites

Municipal Bonds

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


Tax Basics

Taxation of Equities

Taxation of Bonds

Other Tax Rules

DPPS/Limited Partnerships


Trading Markets - Introduction

Trading Markets - Floor of the NYSE

Trading Markets - Types of Orders

Trading Markets - Corporate Actions

Economics & Analysis

The Business Cycle

Economic Policy

Types of Analysis

Financial Statements

Liquidity Ratios

Profitability Ratios

Valuation Ratios

Capitalization Ratios

Cost of Capital

Time Value of Money

Technical Analysis

Portfolio Analysis (Suitability)

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