{"product_id":"the-boston-institute-of-finance-mutual-fund-advisor-course-isbn-9780471712343","title":"The Boston Institute of Finance Mutual Fund Advisor Course","description":"Access the industry?s premier print study guide and the industry?s premier online test-prep materials with this unique package. The study guide consists of seven chapters, which parallel the content of the exams. Each chapter includes review questions and provides the core knowledge necessary to pass the exams. The associated test-prep Web course provides sample test questions and tips that will help you get a better feel for the actual exams.  \u003cp\u003eFilled with in-depth insight and expert guidance, you won?t need anything else to pass the Series 6 and Series 63 exams. Order your copy today.\u003c\/p\u003e \u003cp\u003ePreface ix\u003c\/p\u003e \u003cp\u003e\u003cb\u003eSeries 6 Test Preparation 1\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003cb\u003eIntroduction 3\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003cb\u003e1 Investment Securities 9\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 9\u003c\/p\u003e \u003cp\u003eMoney and Capital Markets 9\u003c\/p\u003e \u003cp\u003eCommon Stock 10\u003c\/p\u003e \u003cp\u003ePreferred Stock 10\u003c\/p\u003e \u003cp\u003eCorporate Bonds 11\u003c\/p\u003e \u003cp\u003eOther Types of Corporate Bonds 12\u003c\/p\u003e \u003cp\u003eConvertible Bonds 12\u003c\/p\u003e \u003cp\u003eZero Coupon Bonds 12\u003c\/p\u003e \u003cp\u003eInterest Rate Risk 13\u003c\/p\u003e \u003cp\u003eYields 13\u003c\/p\u003e \u003cp\u003eRights 13\u003c\/p\u003e \u003cp\u003eWarrants 14\u003c\/p\u003e \u003cp\u003eCollateralized Mortgage Obligations 14\u003c\/p\u003e \u003cp\u003eInterest Rates and Bond Concepts 14\u003c\/p\u003e \u003cp\u003eUS Government Securities. 15\u003c\/p\u003e \u003cp\u003eMunicipal Bonds 16\u003c\/p\u003e \u003cp\u003eMoney Market Instruments 16\u003c\/p\u003e \u003cp\u003eBankers’ Acceptances 16\u003c\/p\u003e \u003cp\u003eCommercial Paper 16\u003c\/p\u003e \u003cp\u003eNegotiable Certificates of Deposit 17\u003c\/p\u003e \u003cp\u003eInterbank Market for Foreign Currencies 17\u003c\/p\u003e \u003cp\u003eEurodollar Bonds 17\u003c\/p\u003e \u003cp\u003eAdditional Concepts 17\u003c\/p\u003e \u003cp\u003eReview Questions 19\u003c\/p\u003e \u003cp\u003eAnswers to Review Questions 22\u003c\/p\u003e \u003cp\u003e\u003cb\u003e2 Securities Markets 23\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 23\u003c\/p\u003e \u003cp\u003eTypes of Investment Risk 23\u003c\/p\u003e \u003cp\u003eEconomic Factors 25\u003c\/p\u003e \u003cp\u003eSuitability and Risk Factors 25\u003c\/p\u003e \u003cp\u003eReview Questions 27\u003c\/p\u003e \u003cp\u003eAnswers to Review Questions 29\u003c\/p\u003e \u003cp\u003e\u003cb\u003e3 Open-End Investment Companies 31\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 31\u003c\/p\u003e \u003cp\u003eTypes of Funds 32\u003c\/p\u003e \u003cp\u003eClasses of Shares 33\u003c\/p\u003e \u003cp\u003eMutual Fund Accounts. 34\u003c\/p\u003e \u003cp\u003eDistributions by Funds 35\u003c\/p\u003e \u003cp\u003eTaxation of Mutual Funds. 36\u003c\/p\u003e \u003cp\u003eMutual Fund Expenses. 36\u003c\/p\u003e \u003cp\u003eReview Concepts 37\u003c\/p\u003e \u003cp\u003eImportant Points 37\u003c\/p\u003e \u003cp\u003eAdditional Concepts 38\u003c\/p\u003e \u003cp\u003eReview Questions 40\u003c\/p\u003e \u003cp\u003eAnswers to Review Questions 44\u003c\/p\u003e \u003cp\u003e\u003cb\u003e4 Regulation of Investment Companies 45\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 45\u003c\/p\u003e \u003cp\u003eSales Charges 46\u003c\/p\u003e \u003cp\u003eBreakpoints 46\u003c\/p\u003e \u003cp\u003eAdvertising by Funds 47\u003c\/p\u003e \u003cp\u003eMutual Fund Sales Literature 48\u003c\/p\u003e \u003cp\u003eDollar Cost Averaging 48\u003c\/p\u003e \u003cp\u003eNASD Rules Concerning Investment Companies 48\u003c\/p\u003e \u003cp\u003eMutual Fund Sales by Banks 50\u003c\/p\u003e \u003cp\u003eAdditional Concepts 51\u003c\/p\u003e \u003cp\u003eReview Questions 53\u003c\/p\u003e \u003cp\u003eAnswers to Review Questions 57\u003c\/p\u003e \u003cp\u003e\u003cb\u003e5 Variable Annuities and Retirement Plans 59\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIntroduction 59\u003c\/p\u003e \u003cp\u003eFixed Annuities 59\u003c\/p\u003e \u003cp\u003eVariable Annuities 59\u003c\/p\u003e \u003cp\u003eAdditional Concepts—Variable Annuities 61\u003c\/p\u003e \u003cp\u003eVariable Life Insurance 62\u003c\/p\u003e \u003cp\u003eMain Points—Variable Life Insurance Contracts 63\u003c\/p\u003e \u003cp\u003eEmployee Retirement Income Security Act of 1974 64\u003c\/p\u003e \u003cp\u003eKeogh Plans 64\u003c\/p\u003e \u003cp\u003eIndividual Retirement Accounts 64\u003c\/p\u003e \u003cp\u003eSimplified Employee Pension Plan 66\u003c\/p\u003e \u003cp\u003ePension and Profit Sharing Plans 66\u003c\/p\u003e \u003cp\u003e401(k) Plans 66\u003c\/p\u003e \u003cp\u003e403(b) Plans 67\u003c\/p\u003e \u003cp\u003eReview Questions 68\u003c\/p\u003e \u003cp\u003eAnswers to Review Questions 72\u003c\/p\u003e \u003cp\u003e\u003cb\u003e6 NASD Rules and Regulations 73\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eCertificate of Incorporation 73\u003c\/p\u003e \u003cp\u003eBylaws of the NASD 73\u003c\/p\u003e \u003cp\u003eAdvertising Rules 74\u003c\/p\u003e \u003cp\u003eBroker\/Dealers 75\u003c\/p\u003e \u003cp\u003eRecommendations Made to Customers 75\u003c\/p\u003e \u003cp\u003ePrivate Securities Transactions 76\u003c\/p\u003e \u003cp\u003ePrompt Receipt and Delivery of Securities 76\u003c\/p\u003e \u003cp\u003eProxy Material 76\u003c\/p\u003e \u003cp\u003eNASD Hot-Issue Rules 76\u003c\/p\u003e \u003cp\u003eCharges for Services 77\u003c\/p\u003e \u003cp\u003eConfirmations 77\u003c\/p\u003e \u003cp\u003eDiscretionary Accounts. 78\u003c\/p\u003e \u003cp\u003eDealing with Nonmembers 78\u003c\/p\u003e \u003cp\u003eOther Provisions of NASD Rules 78\u003c\/p\u003e \u003cp\u003eNASD Code of Procedure. 80\u003c\/p\u003e \u003cp\u003eUniform Practice Code 80\u003c\/p\u003e \u003cp\u003eConfirmations or Comparisons 80\u003c\/p\u003e \u003cp\u003eGood Delivery of Securities 80\u003c\/p\u003e \u003cp\u003eTrade Date and Settlement Date 80\u003c\/p\u003e \u003cp\u003eInvestment Companies and NASD Rules of Fair Practice 81\u003c\/p\u003e \u003cp\u003eReview Questions 82\u003c\/p\u003e \u003cp\u003eAnswers to Review Questions 87\u003c\/p\u003e \u003cp\u003e\u003cb\u003e7 Federal and State Regulations 89\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eSecurities Act of 1933 89\u003c\/p\u003e \u003cp\u003eExempted Securities under the 1933 Act 89\u003c\/p\u003e \u003cp\u003eRed Herring Prospectus 90\u003c\/p\u003e \u003cp\u003eFinal Prospectus90\u003c\/p\u003e \u003cp\u003eEffective Date of Registration Statement90\u003c\/p\u003e \u003cp\u003eLiabilities under the 1933 Act 90\u003c\/p\u003e \u003cp\u003eThe Securities Exchange Act of 1934 91\u003c\/p\u003e \u003cp\u003eInsider Transactions 91\u003c\/p\u003e \u003cp\u003eMarket Manipulation 92\u003c\/p\u003e \u003cp\u003eSecurities Investor Protection Act of 1970 92\u003c\/p\u003e \u003cp\u003eState Securities Laws 93\u003c\/p\u003e \u003cp\u003eUniform Gifts to Minors Act—Uniform Transfer to Minors Act 93\u003c\/p\u003e \u003cp\u003eReview Questions 95\u003c\/p\u003e \u003cp\u003eAnswers to Review Questions 97\u003c\/p\u003e \u003cp\u003eGlossary 99\u003c\/p\u003e \u003cp\u003e\u003cb\u003eSeries 6 Final Examination 105\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003cb\u003eAdditional Practice Questions 1 119\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eAnswers to Additional Practice Questions 1 122\u003c\/p\u003e \u003cp\u003e\u003cb\u003eAdditional Practice Questions 2 123\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eAnswers to Additional Practice Questions 2 126\u003c\/p\u003e \u003cp\u003e\u003cb\u003eAdditional Practice Questions 3 127\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eAnswers to Additional Practice Questions 3 130\u003c\/p\u003e \u003cp\u003e\u003cb\u003eSeries 63 Test Preparation 131\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003e\u003cb\u003eIntroduction 133\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eImportant Terms 134\u003c\/p\u003e \u003cp\u003eLicensing\/Registration Requirements 138\u003c\/p\u003e \u003cp\u003eCapital Requirements 139\u003c\/p\u003e \u003cp\u003eRecordkeeping 139\u003c\/p\u003e \u003cp\u003eAdministrative Sanctions 140\u003c\/p\u003e \u003cp\u003eRegistration of Securities 141\u003c\/p\u003e \u003cp\u003eNotification (Filing) 141\u003c\/p\u003e \u003cp\u003eCoordination 141\u003c\/p\u003e \u003cp\u003eQualification 142\u003c\/p\u003e \u003cp\u003eRegistration Provisions 142\u003c\/p\u003e \u003cp\u003eDenial of Registration 142\u003c\/p\u003e \u003cp\u003eExempt Securities 142\u003c\/p\u003e \u003cp\u003eExempt Transactions 143\u003c\/p\u003e \u003cp\u003eFraudulent and Other Prohibited Practices 144\u003c\/p\u003e \u003cp\u003eSuitability 146\u003c\/p\u003e \u003cp\u003eRegulatory Oversight 146\u003c\/p\u003e \u003cp\u003eCriminal Penalties 147\u003c\/p\u003e \u003cp\u003eCivil Liabilities 147\u003c\/p\u003e \u003cp\u003eJudicial Review of Administrative Orders 147\u003c\/p\u003e \u003cp\u003eScope of the Act 148\u003c\/p\u003e \u003cp\u003eConsent to Service of Process 148\u003c\/p\u003e \u003cp\u003eAdditional Concepts—Uniform Securities Act 149\u003c\/p\u003e \u003cp\u003e\u003cb\u003eSeries 63 Practice Questions and Answer Explanations 151\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003ePractice Questions 1 151\u003c\/p\u003e \u003cp\u003ePractice Questions 1—Answer Explanations 158\u003c\/p\u003e \u003cp\u003ePractice Questions 2 160\u003c\/p\u003e \u003cp\u003ePractice Questions 2—Answer Explanations 167\u003c\/p\u003e \u003cp\u003ePractice Questions 3 169\u003c\/p\u003e \u003cp\u003ePractice Questions 3—Answer Explanations 176\u003c\/p\u003e \u003cp\u003ePractice Questions 4 178\u003c\/p\u003e \u003cp\u003ePractice Questions 4—Answer Explanations 182\u003c\/p\u003e \u003cp\u003eIndex 183\u003c\/p\u003e The BOSTON INSTITUTE OF FINANCE (BIF) (www.Bostonifi.com) develops and distributes multimedia and interactive learning solutions for professionals in the financial services industry. BIF possesses the largest digital repository of training material in the industry and manages the certification and training programs of thousands of corporate and individual learners in the United States and around the world.   Series 6 and Series 63 accreditations are necessary for anyone who wants to sell mutual funds, variable annuities, and variable life insurance contracts. The Boston Institute of Finance Mutual Fund Advisor Course has refined and improved the study materials for these exams to the point where this course is arguably the best product available for preparing for the Series 6 and Series 63 exams.  \u003cul\u003e \u003cli\u003eThe study guide contains seven chapters that parallel the content of the exams\u003c\/li\u003e \u003cli\u003eEach chapter includes review questions and provides the core knowledge necessary to pass the exams\u003c\/li\u003e \u003cli\u003eThe associated test-prep Web course provides sample test questions and tips that will help you get a better feel for the actual exams\u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003eFilled with in-depth insight and expert guidance, the Boston Institute of Finance Mutual Fund Advisor Course is the only guide you'll need to pass the Series 6 and Series 63 exams.\u003c\/p\u003e","brand":"Wiley","offers":[{"title":"Default Title","offer_id":47990177267941,"sku":"NP9780471712343","price":39.95,"currency_code":"USD","in_stock":false}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/1842\/7735\/files\/9780471712343.jpg?v=1761786799","url":"https:\/\/k12savings.com\/es\/products\/the-boston-institute-of-finance-mutual-fund-advisor-course-isbn-9780471712343","provider":"K12savings","version":"1.0","type":"link"}