1.1 Introduction
1.2 Securities Act of 1933: Definitions
1.3 Registration
1.4 Underwriter Requirements and Procedures
1.5 Investment Company Act of 1940
1.6 Registration of Investment Companies
1.7 WRAP Accounts
1.8 Structure, Management and Operation of Mutual Funds
1.9 Types of Investment Companies
1.10 Mutual Fund Pricing
1.11 Classes of Fund Shares
1.12 Breakpoints
1.13 Buying and Redeeming Mutual Funds
1.2 Securities Act of 1933: Definitions
1.3 Registration
1.4 Underwriter Requirements and Procedures
1.5 Investment Company Act of 1940
1.6 Registration of Investment Companies
1.7 WRAP Accounts
1.8 Structure, Management and Operation of Mutual Funds
1.9 Types of Investment Companies
1.10 Mutual Fund Pricing
1.11 Classes of Fund Shares
1.12 Breakpoints
1.13 Buying and Redeeming Mutual Funds
2.1 Introduction
2.2 Benefits of Mutual Fund Ownership
2.3 Types of Mutual Funds
2.4 Other Types of Mutual Funds
2.5 Mutual Fund Comparisons
2.6 Mutual Fund Characteristics and Taxation
2.7 Selling Mutual Fund Shares
2.8 Opening a New Account and Account Types
2.9 Types of Account Agents
2.10 Cash and Margin Accounts
2.2 Benefits of Mutual Fund Ownership
2.3 Types of Mutual Funds
2.4 Other Types of Mutual Funds
2.5 Mutual Fund Comparisons
2.6 Mutual Fund Characteristics and Taxation
2.7 Selling Mutual Fund Shares
2.8 Opening a New Account and Account Types
2.9 Types of Account Agents
2.10 Cash and Margin Accounts
3.1 Introduction
3.2 Contractual Plans
3.3 Fixed vs. Variable Annuities
3.4 Features of Variable Annuities
3.5 Types and Valuation of Variable Annuities
3.6 Types of Annuity Payouts
3.7 Annuity Distributions and Variable Annuity Charges
3.8 Variable Life Insurance
3.2 Contractual Plans
3.3 Fixed vs. Variable Annuities
3.4 Features of Variable Annuities
3.5 Types and Valuation of Variable Annuities
3.6 Types of Annuity Payouts
3.7 Annuity Distributions and Variable Annuity Charges
3.8 Variable Life Insurance
4.1 Introduction
4.2 Savings Goals
4.3 Employer-Sponsored Retirement Plans
4.4 Qualified Employer-Sponsored Retirement Plans
4.5 Other Qualified Retirement Plans
4.6 Non-Qualified Employer-Sponsored Retirement Plans
4.7 Individual Retirement Accounts (IRAs)
4.8 Roth IRAs
4.9 IRA Rules and Regulations
4.10 College Savings Plans
4.2 Savings Goals
4.3 Employer-Sponsored Retirement Plans
4.4 Qualified Employer-Sponsored Retirement Plans
4.5 Other Qualified Retirement Plans
4.6 Non-Qualified Employer-Sponsored Retirement Plans
4.7 Individual Retirement Accounts (IRAs)
4.8 Roth IRAs
4.9 IRA Rules and Regulations
4.10 College Savings Plans
6.1 Introduction
6.2 Securities Act of 1933
6.3 Rule 156 - Investment Company Sales Literature
6.4 Rule 482 - Advertising Requirements
6.5 Investment Company Act of 1940, and FINRA Conduct Rule 2110 and 2120
6.6 FINRA Conduct Rule 2210
6.7 Standards Applicable to Public Communications, Advertisements and Sales Literature
6.8 FINRA Conduct Rule 2211
6.9 FINRA Conduct Rule 2212
6.2 Securities Act of 1933
6.3 Rule 156 - Investment Company Sales Literature
6.4 Rule 482 - Advertising Requirements
6.5 Investment Company Act of 1940, and FINRA Conduct Rule 2110 and 2120
6.6 FINRA Conduct Rule 2210
6.7 Standards Applicable to Public Communications, Advertisements and Sales Literature
6.8 FINRA Conduct Rule 2211
6.9 FINRA Conduct Rule 2212
7.1 Introduction
7.2 Sales Presentations and Use of Sales Tools
7.3 Registration and Regulation of Brokers and Dealers
7.4 Investment Company Names
7.5 FINRA Conduct Rule 2420
7.6 FINRA Conduct Rule 2820
7.7 FINRA Conduct Rule 2830
7.8 Execution of Portfolio Transactions
7.9 FINRA Conduct Rule 2310, 2330 and 2510
7.10 Prohibited Sales Practices
7.11 Other Prohibited Sales Practices
7.2 Sales Presentations and Use of Sales Tools
7.3 Registration and Regulation of Brokers and Dealers
7.4 Investment Company Names
7.5 FINRA Conduct Rule 2420
7.6 FINRA Conduct Rule 2820
7.7 FINRA Conduct Rule 2830
7.8 Execution of Portfolio Transactions
7.9 FINRA Conduct Rule 2310, 2330 and 2510
7.10 Prohibited Sales Practices
7.11 Other Prohibited Sales Practices
8.1 Introduction
8.2 Settlement of Transactions and Delivery of Securities
8.3 Confirmation of Transactions and Account Statements
8.4 Registration and Regulation of Brokers and Dealers
8.5 SEC Section 17
8.6 FINRA Rules
8.7 Anti Money Laundering Regulations
8.8 Securities Investors Protection Act of 1970
8.2 Settlement of Transactions and Delivery of Securities
8.3 Confirmation of Transactions and Account Statements
8.4 Registration and Regulation of Brokers and Dealers
8.5 SEC Section 17
8.6 FINRA Rules
8.7 Anti Money Laundering Regulations
8.8 Securities Investors Protection Act of 1970
