Package Series 24 + Total Study Package
9/14 - 9/17
11:00am - 2:00pm ET
Break 12:30pm-12:45am
Instructor: Dr. Karen Solomon

Includes: 
  • Live Web Class
  • Study Guide
  • Exam Simulator
  • Video Lecture
  • Audiobook

Topics covered:

  • Registration Information
  • Supervision
  • Dealing With Customers
  • Conduct Rules
  • Anti-Money Laundering
  • Record Keeping
  • Financial Responsibility Rules
  • Opening an Account
  • Types of Accounts
  • Cash Versus Margin Accounts
  • Maintaining an Account
  • Customer Privacy Rules
  • Investment Company and Annuities
  • Investment Banking: Types of Offerings and Issuers
  • Investment Banking: Public Offering Rules
  • Investment Banking: Exempt Offerings and Transactions
  • Investment Banking: Merger and Tender Offer Rules
  • Trading
  • Trading, Halts, and Pauses
  • Auction Markets
  • The NASDAQ
  • OTC Markets
  • SEC Rules for NMS Securities
  • Clearance and Settlement
  • Transferring Funds and Securities
Price:
$960.75   $748.40
 
Online Study Guide
Exam Simulator
Video Lecture
Audiobook
Series 24 Live Class