美国金融牌照 series 24 知识点
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本人已于2020年1月通过考试
下面想研究下investment adviser Series 66投资顾问牌照。
节目列表
正序 | 倒序
- 1The limit order display rule
- 2Quote Rule by SEC and SRO
- 3regulation NMS
- 4Antifraud provisions of the investment advisers act
- 5Regulation of Investment Advisers
- 6Fidelity Bonds
- 7Books and Records
- 8Securities Infomation Center
- 9securities counts
- 10Customer free credit balances
- 11The customer protection rule
- 12Members’ financial and or operational difficulties
- 13Early Warning Notice
- 14FOCUS report and annual report
- 15Debt to equity requirement
- 16Subordination Agreements
- 17Haircuts and Deductions
- 18Aggregate Indebtedness to Net Capital ratio
- 19Limitations on introducing firms and market makers
- 20Minimum dollar requirement of Broker Dealers
- 21What is net capital
- 22Emerging Growth Companies-EGC
- 23Significant news exception to quiet periods
- 24quiet period
- 25Three-Way Communications
- 26Road Shows
- 27Solicitation of investment banking business
- 28Communication with the subject Comoany
- 29Rule 139-Research Reports
- 30Rule 138-non-equivalent securities
- 31Rule 137-persons not participating in an offering
- 32Investment banking and research departments control issues
- 33research analysts and research reports
- 34SOX- Audit Committee
- 35Sarbanes-socket Act
- 3610b-18 Safe Harbor
- 37Manipulation
- 38Consequences of insider trading violations
- 39Insider trading violation investigation—SRO Rules
- 40Restricted and Watch Lists
- 41Information Barrier Procedures
- 42Important Insider Trading Legislation
- 43Tippers and Tippees
- 44Insider Trading
- 45Hart-Scott-Rodino Act
- 46Regulations regarding fairness opinions
- 47Summary Term Sheet and other detailed disclosures
- 48regulation M-A
- 49Going private transactions
- 50Issuer Share Buybacks
- 51Tender-prohibited practices
- 52Partial tender offers
- 53No open market purchases during the tender period
- 54Tender Offers
- 55Preliminary and definitive proxy statements
- 56Annual proxy statement on form 14 A
- 57affirmative defense against insider trading
- 58Short-Swing Profits
- 59Beneficial ownership reports (insiders)
- 60Schedule F
- 61Schedule 13D and 13 G
- 62compliance with regulation FD
- 63Form 8-K
- 64reporting requirements forms 10-K and 10-Q
- 65Violation of Exchange Act
- 66Trading suspensions and emergency authority
- 67interstate commerce and foreign internal market exception
- 68Participation in rollups
- 69Limits on compensation and expenses
- 70DPP-Disclosures
- 71Direct participation programs
- 72Disclosure of a control relationship
- 73Issuer-directed securities
- 74General exemptions
- 75Anti-dilution exception
- 76Restricted persons
- 77Prohibited sales
- 78Preconditions for Sale
- 79Not considered new issues- sold to restricted persons
- 80Syndicate records
- 81Prohibited representation and disclosure of interest
- 82allocations and distribution rule (spinning and flipping)
- 83Finra rules regarding regulation M
- 84Short sales in connection with an offering
- 85penalty bids and syndicate covering transactions
- 86Rule 104- Stabilization
- 87Rule 103- passive market making
- 88Exceptions to Rule 102 (activities of Issuers)
- 89Regulation M and IPO allocations
- 90Rule 101- Research exception
- 91Rule 101-exceptions to rule 101
- 92Rule 101-Reference Securities
- 93Rule 101-length of restricted period
- 94Regulation M
- 95Settlement of Syndicate Accounts
- 96Public Offering of Securities with Conflicts of Interest
- 97Selling Concessions
- 98Syndicate and Selling Groups
- 99Review of Underwriting Agreements
- 100FINRA Filing Requirements
- 101At-the-Market Offerings and New Issue Practices
- 102Distribution of Securities-syndicate
- 103Underwriting Securities-underwriting commitments
- 104The New Issue Marketplace
- 105Selling unregistered securities-Rule 144 and Rule 145
- 106FINRA Rule 5123
- 107FINRA Rule 5122
- 108Regulation S
- 109Rule 144A
- 110Regulation D
- 111Exempt Transactions
- 112Securities Exempt from Registration
- 113Regulation S-X
- 114Regulation S-K 2
- 115Regulation S-K
- 116Gun-Jumping Provisions and Electronic Road Shows
- 117Types of Prospectuses
- 118Shelf Registration
- 119Well-Known Seasoned Issuers (WKSI)
- 120The Trust Indenture Act of 1939
- 121The sale of Securities by Employees if an Issuers
- 122Prospectus Delivery Requirement
- 123Blue-Sky Laws and the post-effective period
- 124SEC registration
- 125IPO and PIPE
- 126Private Equity Firms (PE Firms)
- 127Hedge Fund
- 128QIB
- 129Institutional Investors
- 130SEC Reporting Company
- 131Reverse Convertible Securities
- 132Structured Products
- 133Types of Issuer Organizations (REIT and ADR)
- 134Self-Regulating Organizations (SROs)
- 135Federal Regulation-overview
- 136Introduction
- 137Selling securities that research analyst will be covering
- 138Leveraged ETF maintenance requirement
- 139Which party reports to ORF
- 140Prior approval to open account at another member firm
- 141Forward-looking information
- 142QIB
- 143Statutory disqualification
- 144CIP rule
- 145Transfer Instruction Form
- 146Allocating shares
- 147management’s opinion in tender offer
- 148At-the-market offering
- 149Waiting period to publish research
- 150Contemporaneous cost
- 151Buy-in notice
- 152Reduce restriction on communication in cross-boarder M&A
- 153Effective date of an IPO
- 154Forfeit shakes charges
- 155Retail communication and principal approval
- 156Prior disclosure relationship with parent company
- 157Under control of a broker-dealer
- 158CRD
- 159Trading halt
- 160Excused withdrawal
- 161suitability
- 162Free writing prospectus
- 163Disclosures to FINRA that compensation paid to underwriters
- 164Interactive analysis tool through website
- 165FINRA filing requirement- analysis tool on website
- 16613D filer
- 167Supervised by on-site principal
- 168Trading ahead
- 169Info maybe omitted in prospectus filed
- 170Network B
- 171Block size
- 172Aggregated data
- 173loan of stock
- 174Switching broker-dealers
- 175Reasons to deny issuer’s registration statement
- 176Authorization to open account
- 177Final prospectus
- 178Purchase in a restricted margin account
- 179LOI- letter of intent
- 180Trading ahead of a research report
- 181Fulfill customer request of prospectus
- 182ATS-alternative trading system
- 183Fidelity bond
- 184Research analyst attending road show of EGC
- 185Period to Deliver prospectus to purchasers
- 186Hypothecation of securities
- 187Lifetime records
- 188Private placement-obligations and liabilities
- 189market maker’s participation
- 190Opt out of information sharing-Reg. SP
- 191Continuing education requirement
- 192Opening account-client signature
- 193Passive market-maker status
- 194Ineligible issuers of free writing prospectuses
- 195proceeds transaction
- 196Private placement subscription agreement
- 197Satisfactory subordinates loan
- 198Portfolio margin
- 199carrying agreement
- 200Single Book
- 201Soft dollar
