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Tables of Contents for Passtrak Series 7
Chapter/Section Title
Page #
Page Count
Series 7 Introduction
ix
Equity Securities
1
38
What Is a Security?
2
1
Common Stock
3
12
Preferred Stock
15
6
Tracking Equity Securities
21
3
Rights and Warrants
24
4
American Depositary Receipts
28
4
Equity Securities HotSheet
32
7
Debt Securities
39
66
Characteristics of Bonds
40
9
Bond Yields
49
11
Corporate Bonds
60
12
U.S. Government and Agency Securities
72
13
Money-Market Securities and Interest Rates
85
10
Tracking Debt Securities
95
2
Debt Securities HotSheet
97
8
Municipal Securities
105
82
Municipal Debt Characteristics
106
14
Issuing Municipal Securities
120
17
Analysis of Municipal Securities
137
9
Municipal Trading and Taxation
146
12
Municipal Securities Rules and Regulations
158
10
Tracking Municipal Securities
168
1
Municipal Securities HotSheet
169
18
Options
187
102
The Options Contract
188
22
Basic Option Transactions
210
24
Multiple Option Transactions
234
17
Nonequity Options
251
14
How the Options Market Functions
265
5
Tax Rules for Options
270
5
Options HotSheet
275
14
Customer Accounts
289
32
New Accounts
289
11
Types of Accounts
300
7
Uniform Gifts to Minors Act Accounts
307
5
Customer Accounts HotSheet
312
9
Margin Accounts
321
36
Extension of Credit in the Securities Industry
321
6
Margin Accounting
327
22
Special Memorandum Account
349
1
Pledging Customer Securities for Loans
349
2
Margin Accounts HotSheet
351
6
Issuing Securities
357
36
The Regulation of New Issues
357
9
The Underwriting Process
366
4
The Underwriting Syndicate
370
2
Types of Underwriting Commitments
372
5
Exemptions from the Securities Act of 1933
377
5
Freeriding and Withholding: Hot Issues
382
3
Issuing Securities HotSheet
385
8
Trading Securities
393
56
The Regulation of Trading
393
2
Securities Markets and Broker-Dealers
395
5
The New York Stock Exchange
400
3
The Specialist
403
17
Long and Short Sale Rules
420
3
Other Domestic and International Exchanges
423
1
Computerized Order Routing
424
1
The Consolidated Tape
425
2
The Over-the-Counter Market
427
2
Quotations
429
3
NASD 5% Markup Policy
432
4
NASD Automated Quotation System
436
5
Trading Securities HotSheet
441
8
Brokerage Support Services
449
36
Processing an Order
449
17
Accrued Interest Calculations
466
5
Rules of Good Delivery
471
6
Brokerage Support Services HotSheet
477
8
Investment Company Products
485
54
Investment Company Purpose
486
6
Investment Company Registration
492
3
Management of Investment Companies
495
5
Characteristics of Mutual Funds and the Mutual Fund Concept
500
7
Mutual Fund Marketing and Pricing
507
9
Mutual Fund Distributions and Taxation
516
6
Mutual Fund Purchase and Withdrawal Plans
522
3
Tracking Investment Company Securities
525
6
Investment Company Products HotSheet
531
8
Retirement Plans
539
22
Nonqualified Retirement Plans
539
3
Individual Retirement Accounts
542
5
KEOGH (HR-10) Plans
547
3
Tax-Sheltered Annuities (TSAs)
550
1
Corporate Retirement Plans
550
2
The Employee Retirement Income Security Act of 1974 (ERISA)
552
3
Retirement Plans HotSheet
555
6
Variable Annuities
561
20
Types of Annuity Contracts
561
7
Purchasing Annuities
568
1
Receiving Distribution from Annuities
569
6
Variable Annuities HotSheet
575
6
Direct Participation Programs
581
24
Characteristics of Limited Partnerships
581
10
Types of Limited Partnership Programs
591
8
Direct Participation Programs HotSheet
599
6
Economics and Analysis
605
46
Economics
606
5
Economic Policy
611
7
Technical Analysis
618
6
Fundamental Analysis
624
13
Financial Ratios
637
6
Economics and Analysis HotSheet
643
8
Ethics, Recommendations, and Taxation
651
40
Ethics in the Securities Industry
652
13
Analyzing Financial Risks and Rewards
665
3
Portfolio Management
668
3
Federal and State Taxation
671
14
Ethics, Recommendations, and Taxation HotSheet
685
6
U.S. Government and State Rules and Regulations
691
22
Overview of Federal and Securities Legislation
692
9
State Securities Regulations
701
3
U.S. Government and State Rules and Regulations HotSheet
704
9
Other SEC and SRO Rules and Regulations
713
46
Registration and Regulation of Broker-Dealers
714
1
Self-Regulatory Organizations
715
8
Investigations: The Code of Procedure and the Code of Arbitration Procedure
723
10
NYSE Constitution and Rules
733
3
Communications with the Public
736
15
Other SEC and SRO Rules and Regulations HotSheet
751
8
Glossary
759
74
Index
833
10
Series 7 HotSheets
843
Equity Securities HotSheet
843
Debt Securities HotSheet
845
Municipal Securities HotSheet
847
Options HotSheet
849
Customer Accounts HotSheet
852
Margin Accounts HotSheet
854
Issuing Securities HotSheet
855
Trading Securities HotSheet
857
Brokerage Procedures HotSheet
859
Investment Company Products HotSheet
861
Retirement Plans HotSheet
863
Variable Annuities HotSheet
865
Direct Participation Programs HotSheet
866
Economics and Analysis HotSheet
867
Ethics HotSheet
869
U.S. and State Rules and Regulations HotSheet
871
Other SEC and SRO Regulations HotSheet
873