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Index
CHAPTER 1: Economic Factors & Business Information
Basic Economic Concepts
Inflation, Deflation
Interest Rates
Yield Curves
Yield Spread
Global and Geopolitical Factors
Economic Indicators
Business Cycle
Fiscal and Monetary Policy
Financial Reporting
Financial Statements
Accounting Fundamentals
Analytical Methods
Time Value of Money
Descriptive Statistics and Risk Measurements
Types of Risk
Systematic Risk
Unsystematic Risk
Now What?
CHAPTER 2: Investment Vehicle Characteristics
Types and Characteristics of Cash and Cash Equivalents
T-Bills
Bankers' Acceptance
Commercial Paper
Repurchase Agreements
Tax-Exempt Municipal Notes
Certificates of Deposit (CDs)
Fed Funds
Types and Characteristics of Fixed-Income Securities
Form of Registration
Quotes
Notation
Types of Maturities
Special Types of Bonds
Risks
Corporate Bonds
U.S. Government Securities
Agency Bonds
Foreign Bonds
CMOs
CDOs
Asset-Backed Securities
Municipal Securities
Methods Used to Determine the Value of Fixed-Income Securities
Types and Characteristics of Equity Securities
Common Stock
Preferred Stock
Yield vs. Total Return
Methods Used to Evaluate Equity Securities
Types and Characteristics of Pooled Investments
Investment Companies
REITs
Private Funds
Alternative Investments
Limited Partnerships (DPPs)
Structured Products
Insurance-Based Products
Annuities
Life Insurance
Settlement Options for Insurance Policies
Types and Characteristics of Derivative Securities
Warrants
Options
Futures
Forwards
Now What?
CHAPTER 3: Client Investment Recommendations & Strategies
Type of Client
Sole Proprietor
Partnerships
LLC (Limited Liability Company)
Corporations
Foundations and Charities
Client Profile
Suitability
Portfolio Management Styles & Strategies
Valuation Ratios
Market Capitalization (Market Cap)
Growth Investing
Value Investing
Active vs. Passive
Buy and Hold
Portfolio Management Techniques
Asset Allocation
Diversification
Sector Rotating
Dollar Cost Averaging
Capital Market Theory
CAPM
Modern Portfolio Theory
Efficient Market Hypothesis
Behavioral Finance
Tax Considerations
Portfolio Income
Mutual Fund Taxation
Taxation of Annuities
Taxation of Life Insurance
Taxation of Options
Transferred Securities
Estates
Gifts
Trusts
Disclaiming an Inheritance
Qualified Domestic Relations Order
AMT
Progressive and Regressive
Types of Income
Corporate Taxes
Retirement Plans
Individual Plans
Employer-Based Retirement Plans
ERISA Issues
Fiduciaries
Safe Harbor, 404(c)
Company Stock
Special types of accounts
Education-Related Accounts
Other Accounts
Trading Securities
First Market – NYSE, etc.
Over-the-Counter
Third Market
Fourth Market
Dark Pools, High-Frequency Trading
Selling Short
Bond Trading
Types of Orders
Margin
Performance Measures
Holding Period and Annualized Return
Yield and Total Return
Inflation-Adjusted, Real Return
After-Tax Return
Tax-Equivalent Yield
Risk-Adjusted Return
Time- and Dollar-Weighted Return
Expected Return
Benchmarks
Possible Calculations
Now What?
CHAPTER 4: Laws, Regulations, and Guidelines, Including Prohibition on Unethical Business Practices
State and Federal Securities Acts
Uniform Securities Act
Federal Securities Acts
Regulation of RIAs and IARs
Federal Covered Advisers
Disclosure Brochure
Wrap-Fee Programs
State Registration
NSMIA
Exempt Reporting Advisers
SEC Release IA-1092
Regulation of Broker-Dealers and Agents
Registration Procedure
Record Keeping Requirements
Net Capital Requirements
Renewals and Other Registration Specifics
Defining Our Terms
Exclusions and Exemptions for Persons
Not a Broker-Dealer
Not an Agent
Investment Adviser Exclusions
Ethical Practices and Fiduciary Obligations
Business Practices for RIAs and IARs
Business Practices for Broker-Dealers and Agents
Now What?
Glossary
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