PassTrak series six, investment company/variable contracts limited representative: License exam manual

Front Cover
Dearborn Financial Pub., 2000 - Business & Economics - 404 pages
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Contents

Agency Issues
28
The Money Market
34
Market Terms
44
Analyzing Financial Risks and Rewards
56
Key Facts and Figures
65
Investment Companies Taxation and Customer Accounts
71
Characteristics of Mutual Funds
79
Investment Company Registration
87
Review Questions
136
Variable Life Insurance
150
Individual Retirement Accounts
158
Securities Industry Regulations
179
The Regulation of Trading
186
Registration and Regulation of BrokerDealers
193
Ethics in the Securities Industry
202
Code of Procedure and of Arbitration Procedure
211

Taxation and Mutual Fund Distributions
107
Mutual Fund Purchase and Withdrawal Plans
115
New Accounts
122
Uniform Gifts to Minors Act Accounts
130
Tracking Traded Securities
227
Glossary
235
Index
271
Copyright

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