Series 65 Audio

Solomon Series 65, 2nd Ed.

NASAA Uniform Investment Adviser Law Examination

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Track Title Bookmark Length Download
1 Note From Publisher 1:03
2 Copyright 0:21
3 Introduction 10:31
4 Chapter One: Economic Factors and Business Information 16:25
5 Inflation and Interest Rates 18:31
6 Fiscal Policy 16:25
7 The Income Statement 16:18
8 Notes to the Financial Statements 14:42
9 Technical Analysis 16:24
10 Quantitative Methods of Analysis 18:30
11 Risk 17:55
12 Capital Structure and Liquidation Priority 3:59
13 Chapter Two: Equity and Debt Securities 17:14
14 Right to a Residual Claim During Liquidation 20:17
15 Warrants and Rights 16:49
16 Maturity Structure 17:23
17 Bond Notation 15:35
18 Conversion Value 17:07
19 U.S. Treasury Securities 19:00
20 Collateralized Mortgage Obligations 19:14
21 Municipal Bonds 9:53
22 Valuing Fixed-Income Securities 15:39
23 Valuing Equity Securities 9:05
24 Chapter Three: Investment Companies and Life Insurance Products 16:52
25 Balanced Funds 15:45
26 Management Company Rules 21:01
27 Exchange-Traded Notes (ETNs) 18:02
28 Variable Annuities 17:48
29 Variable Annuity Regulations 20:07
30 Chapter Four: Derivatives and Alternative Investments 17:24
31 Calculating Gains and Losses 17:44
32 Options Strategies 19:11
33 Benefits and Risks of Derivatives 16:20
34 Commodities 19:12
35 Types of DPPs 15:42
36 Resales of Restricted and Control Securities—Rule 144 7:59
37 Chapter Five: Client Accounts, Client Profiles, and Portfolio Analysis 14:54
38 General and Limited Partnerships 16:01
39 Taxation of an Estate Account 17:25
40 Client Profiles 14:30
41 Planning for a Specific Event 18:41
42 Risk Tolerance 15:20
43 Implications of the CAPM 16:51
44 Growth vs. Value Management 15:07
45 Capital Goal Within Specified Time Period 6:39
46 Chapter Six: Tax Considerations and Retirement Plans 19:31
47 Portfolio Income 17:59
48 Corporate, Trust, and Estate Income Tax Fundamentals 16:10
49 Investment Policy Statement 19:44
50 Non-Qualified Retirement Plans 17:48
51 Rollovers vs. Transfers 21:29
52 Chapter Seven: Trading Securities and Performance Measures 16:36
53 Principal vs. Agency Transactions 16:35
54 High-Frequency Trading 16:22
55 Short Positions in Margin Accounts 16:34
56 Averaging Returns 14:00
57 Expected Return Using Probability Theory 17:41
58 R-Squared 19:50
59 Chapter Eight: State and Federal Securities Acts and the Regulation of Securities Professionals 17:30
60 The Uniform Securities Act 15:59
61 Registration of Investment Advisers 15:45
62 Post-Registration Requirements for Advisers 15:40
63 Definition of Broker-Dealer 16:03
64 Post-Registration Requirements 21:34
65 Chapter Nine: Regulation of Securities and Issuers and the Powers of the Administrator 18:34
66 Federal Covered Securities and Their Sale at the State Level 15:34
67 State Jurisdiction Over Fraudulent Securities Activities 17:17
68 Administrative Actions 8:52
69 Chapter Ten: Ethical Practices and Fiduciary Obligations 15:41
70 Fraud and the 1933 and 1934 Acts 16:05
71 Investment Company Communications 15:15
72 Broker-Dealer and Agent Commissions 15:57
73 Client Funds and Securities 16:28
74 Broker-Dealer vs. Investment Adviser Suitability 14:03
75 Cybersecurity and Data Protection 18:02
76 Indirect Violations 18:12

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