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A. Customer Accounts & Orders – new accounts,
types of customer accounts, custodian accounts, restrictions on
new accounts, deceased persons’ accounts, order procedures,
regulation of margin accounts, characteristics of margin accounts,
margin requirements, calculations involving margin accounts, restricted
accounts, industry requirements, SMAs, short sales, rights of lendors,
closing out short sales, margin requirements of short sales, regulation
of short sales, calculations involving short sales.
B. Investment Environment – liquidity vs.
marketability, bull vs. bear markets, long vs. short position, pink
sheets, primary market, firm-commitment underwriting, best efforts
underwriting, private placement, secondary market, New York Stock
Exchange, commission vs. floor broker, specialists, over the counter
market, market makers, third market, fourth market, market order,
limit order, stop-loss order, odd lots, Investment Company Act of
1940, SEC influence on standard setting, purpose of securities laws,
SEC Form S-1, S-2 S-3, S-4 and S-8, Regulation S-X and S-K, Securities
Act of 1933 and 1934, proxy statements, Form 8-K, SEC safe harbor
rule, Form 10-Q, Form 10-K, purpose of independent auditors’
report, red herring prospectus, shelf-registration.
C. Investment Vehicles – common stock, blue
chip stocks, growth stocks, income stocks, cyclical stocks, defensive
stocks, interest-sensitive stocks, cumulative vs. noncumulative
voting rights, par value, short selling, uptick rule, American depository
receipts, dividend dates, stock dividends, stock splits, basic vs.
diluted EPS, preferred stock, simple vs. complex capital structures,
dilution, anti-dilution, treasury stock method, compensatory stock
options, options, put options, call options, option premium, exercise
price, intrinsic value, in the money, at the money, out of the money,
Black-Scholes option valuation model, straddle, zero cost collar,
naked options vs. covered options, American vs. European options,
option price, stock warrants, futures contracts, hedging, swaps,
types of option plans, stock appreciation rights, maturity matching,
reasons for holding marketable securities, liquidity determination
of marketable securities, risk and return factors of marketable
securities, certificates of deposit, treasury bills, money-market
accounts, commercial paper, Federal funds, guaranteed investment
contracts, return comparisons, treasury bills, treasury notes, treasury
bonds, mortgage bonds, income bonds, agency securities, bankers’
acceptances, repurchase agreements, commercial paper, unsecured
credit, corporate bonds, zero coupon bonds, Series E & EE bonds,
Series HH bonds, municipal bonds, coupon rate, yield to maturity,
convertible bonds, conversion ratio, call provisions, mutual funds,
benefits of mutual funds, open-end mutual funds, closed-end investment
companies, stock mutual funds, bond mutual funds, balanced funds,
global mutual funds, index mutual funds, sector funds, front-end
load, back-end load, Class A shares, Class B shares, Class C shares,
unit investment trusts, precious metals, futures contracts, long
vs. short positions, futures price, spot price, daily limit, derivatives,
annuities, advantages of real estate, developed land, undeveloped
land, real estate investment trusts, points, calculation of premium
or discounts on forward exchange contracts, speculative forward
contracts, effect of overvalued exchange rates on exports and imports,
determination of exchange rates, spot rate, forward rate, political
risk.
D. Investment Risk – definition of investment
risk, systematic risks, market risk, exchange rate risk, reinvestment
rate risk, purchasing power risk, interest rate risk, unsystematic
risk, business risk, financial risk, default risk, regulation risk,
liquidity risk, commodity risk, beta coefficient, mutual exclusivity,
conditional probability, joint probability, independent probability,
discrete distributions, continuous distributions, expected value
of alternatives, probability of success and failure, critical probability,
inequity functions, stages of the simulation process, objective
vs. subjective probabilities, correlation analysis, coefficient
of correlation, coefficient of determination, sensitivity analysis,
simulation, and standard deviation.
E. Investment Returns – expected return,
required return, realized return, holding point return, internal
rate of return, arithmetic average return, geometric average return,
real return, total return, tax-adjusted return, weighted average
return, Sharpe Performance Index, Treynor Performance Index, Jensen
Performance Index, fundamental analysis, technical analysis, Dow
Theory, odd-lot short sales theory, market breadth, immunization,
laddered bond approach, dumbbell strategy, bond swapping, substitution
swap, intermarket spread swap, rate anticipation swap, pure yield
pickup swap, yield curve.
F. Investment Valuation – constant dividend
growth model, perpetuity, capitalized earnings approach, margin
accounts, maintenance margin, margin call, real estate valuation,
sales comparison approach, cost approach, capitalization approach,
net operating income, bond rating agencies, interest rate impacts
on bond prices, bond terms & volatility, coupon rates, yield
curves, liquidity premium theory, market segmentation theory, expectations
theory, duration.
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