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