Wiley FINRA Series 9 Exam Review 2017
Author | : Wiley |
Publisher | : John Wiley & Sons |
Total Pages | : 218 |
Release | : 2017-03-06 |
ISBN-10 | : 9781119379775 |
ISBN-13 | : 1119379776 |
Rating | : 4/5 (75 Downloads) |
Book excerpt: Exercising a Call -- Exercising a Put -- Protective Puts -- Covered Calls -- Option Contract Margin Requirements -- Margin Requirements When Exercising a Call -- Margin Requirements When Exercising a Put -- Margin Requirements When Writing a Call -- Margin Requirements When Writing a Put -- Margin Requirements When Establishing a Spread -- Pretest -- Chapter 6 Option Compliance and Account Supervision -- Duties of the ROSFP -- Option Account Compliance -- Outside Accounts for Employees -- Option Agreements -- Option Account Supervision -- Large Option Position Reporting Requirements -- Customer Confirmations and Account Statements -- Customer Complaints -- Communications with the Public -- FINRA Rule 2210 Communications with the Public -- Retail Communication -- Institutional Communications -- Correspondence Communications -- Pretest -- Answer Keys -- Glossary of Exam Terms -- Index -- Advert -- Access Code -- EULA