Series 66 Audio

Solomon Series 66, 3rd Ed.

This 18.1 hour audio recording of "The Solomon Exam Prep Guide to the Series 66" will give you the content of this invaluable book in an audio format.



Track Title Bookmark Length Download
1 Note From Publisher 1:02
2 Copyright 0:25
3 Introduction 11:02
4 Section One: Economic Factors and Business Information 8:50
5 The Balance Sheet 18:03
6 Debt to Equity 17:36
7 Present Value 17:34
8 Averaging Returns 18:07
9 Risk-Adjusted Return 18:35
10 Dollar-Weighted Return 16:50
11 Inflation Risk 15:52
12 Section Two: Investment Vehicles 16:27
13 Stock Splits 15:40
14 Price of Preferred Stock 14:58
15 American Depository Receipts (ADRs) 14:48
16 Types of Yields 15:14
17 Yield Spread 19:27
18 Zero Coupon Bonds 15:03
19 Treasury Notes and Bonds 17:20
20 Money Market Securities 16:57
21 Municipal Bonds 18:13
22 Determining Yield to Maturity Through the DCF Model 15:14
23 Moving Averages 7:57
24 Chapter Three: Investment Companies, Life Insurance Products, and Alternative Investments 16:32
25 Balanced Funds 15:32
26 Prohibited Mutual Fund Practices 13:18
27 Exchange Traded Funds (ETFs) 13:08
28 Equity-Indexed Annuities 16:07
29 Payout Options (Settlement Options) 13:08
30 Life Insurance 16:34
31 Real Estate 17:59
32 Viatical and Life Settlements 14:12
33 Futures and Forward Contracts 15:36
34 Hedge Funds 11:24
35 Section Three: Client Investment Recommendations and Strategies 15:27
36 General and Limited Partnerships 14:22
37 Estate Accounts 15:53
38 Other Custodial Accounts 17:43
39 Planning for a Specific Event 16:48
40 Current Investments 17:05
41 Alpha 18:01
42 Growth vs. Value Management 19:28
43 Options Strategies 10:15
44 Chapter Five: Tax Considerations and Retirement Plans 16:55
45 Tax Basis of Gifted Securities 16:36
46 Alternative Minimum Tax 18:31
47 Fiduciary Responsibility 17:01
48 Qualified Plans for Small Businesses 17:27
49 Roth 401(k) 16:04
50 Uniformed Gift to Minors Act (UGMA) and Uniformed Transfers to Minors Act (UTMA) Accounts 11:22
51 Chapter Six: Trading Securities 17:04
52 Principal Versus Agency Transactions 16:07
53 Memory Tricks for Orders 9:52
54 Section Four: Laws, Regulations, and Guidelines, Including Prohibition on Unethical Business Practices 17:12
55 Uniformed Securities Act 15:51
56 Registration of Investment Advisers 15:36
57 Post Registration Requirements for Advisers 14:00
58 Regulation of Broker Dealers 14:20
59 Exceptions for Canadian Broker-Dealers 15:56
60 Post Registration Requirements 8:06
61 Chapter Eight: Regulation of Securities and Issuers and the Powers of the Administrator 16:52
62 Registration by Filing 17:11
63 Exceptions for Media from Other States 15:09
64 Authority of the Administrator 12:12
65 Chapter Nine: Ethical Practices and Fiduciary Obligations 16:14
66 Fraud 18:11
67 Investment Company Communications 15:07
68 Discretion 14:36
69 Broker-Dealer and Agent Commissions 16:25
70 Blanket Recommendations 16:18
71 Client Confidentiality 14:08
72 Acting as Agent to Both Parties (Agency Cross Transactions) 18:50

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