Everand Logo

Welcome to Everand!

  • Discover millions of ebooks, audiobooks, and so much more with a free trial

    Only $11.99/month after trial. Cancel anytime.

    Unavailable
    Wiley Series 99 Exam Review 2013 + Test Bank: The Operations Professional Qualification Examination
    Unavailable
    Wiley Series 99 Exam Review 2013 + Test Bank: The Operations Professional Qualification Examination
    Unavailable
    Wiley Series 99 Exam Review 2013 + Test Bank: The Operations Professional Qualification Examination
    Ebook664 pages6 hours

    Wiley Series 99 Exam Review 2013 + Test Bank: The Operations Professional Qualification Examination

    By The Securities Institute of America, Inc.

    ()

    Currently unavailable

    Currently unavailable

    About this ebook

    The go-to guide to acing the Series 99 Exam!

    Passing the Operations Professional Qualification Exam (Series99) qualifies an individual to perform a variety of operationsfunctions in support of a broker-dealer. The exam covers thebroker-dealer business at a fundamental level, standard operationsfunctions, investor protection and market integrity regulations,identifying and escalating regulatory red-flag issues to theappropriate person in a firm, and professional conduct and ethicalstandards. There are no prerequisites for the Series 99 Exam, butall candidates must be sponsored by a FINRA member firm.

    Created by the experts at The Securities Institute of America,Inc., Wiley Series 99 Exam Review 2013 arms you witheverything you need to pass this challenging 100-question test.Designed tohelp you build and fine-tune your knowledge of all areascovered in the exam and to guarantee thatyou’re preparedmentally and strategically to take the test, it provides:

    • Dozens of examples
    • Assorted practice questions for each subject area covered inthe exam
    • Priceless test-taking tips and strategies
    • Helpful hints on how to study for the test, manage stress, andstay focused

    Wiley Series 99 Exam Review 2013 is your ticket topassing the Series 99 test on the first try—with flyingcolors!

    Visit www.wileysecuritieslicensing.com for moreinformation.

    The Securities Institute of America, Inc. helps thousandsof securities and insurance professionals build successful careersin the financial services industry every year. Our securitiestraining options include:

    • Onsite classes
    • Private tutoring
    • Classroom training
    • Interactive online video training classes
    • State-of-the-art exam preparation software
    • Printed textbooks
    • Real-time tracking and reporting for managers and trainingdirectors
    •  

    As a result, you can choose a securities training solution thatmatches your skill level, learning style, and schedule. Regardlessof the format you choose, you can be sure that our securitiestraining courses are relevant, tested, and designed to help yousucceed. It is the experience of our instructors and the quality ofour materials that make our courses requested by name at some ofthe largest financial services firms in the world.

    To contact The Securities Institute of America, visit us onthe web at www.SecuritiesCE.com or call 877-218-1776.

    LanguageEnglish
    PublisherWiley
    Release dateSep 10, 2013
    ISBN9781118675656
    Unavailable
    Wiley Series 99 Exam Review 2013 + Test Bank: The Operations Professional Qualification Examination

    Related to Wiley Series 99 Exam Review 2013 + Test Bank

    Related ebooks

    Teaching Methods & Materials For You

    View More
    View More

    Related podcast episodes

    Related articles

    • Article

      7 Golden Rules for Investing and Advanced Estate Planning

      Oct 12, 2018

      We've seen this movie before -- sky-high stock prices, sky-high real estate prices and the Fed raising interest rates. We also saw how those times ended in 2001 and 2008. At this point, my clients are looking to preserve and protect their wealth, so

      4 min read

    • Article

      To Succeed at Investing, Do What Yale Does

      Jun 15, 2020

      The wealthiest and most successful investors in the world keep getting wealthier, not because they are lucky or privileged, but because they are playing a different game than the average investor. They do not rely on 401(k)s, average rates of return

      4 min read

    • Article

      5 Ways Financial Advisers Misrepresent Themselves

      Dec 28, 2018

      A financial adviser is someone you should be able to trust, someone who has complete transparency and who is on the lookout for your best interests. But there are some using bogus titles, misrepresenting their credentials and misstating facts in orde

      3 min read

    • Article

      Check Your Financial Adviser Now (and Every Year) or Regret It Later

      Jun 23, 2020

      As I worked with several rookies who took part in this year’s NFL, NBA, MLB and NHL drafts, I noticed the lack of financial literacy in the professional athlete community – especially rookies. It’s insane the trust level they give to agents as well a

      3 min read

    • Article

      One Way to Avoid a Potential White-Knuckle Ride Through Retirement

      Jan 17, 2020

      Have you ever noticed how few people over 60 years old are in line for the roller coasters at a theme park? You see plenty of older visitors enjoying the other attractions, but the cars on the big coasters are typically filled with riders 40 or youn

      3 min read

    • Article

      How to Vet a Financial Adviser

      Apr 5, 2018

      Interview a few advisers before you settle on one. Having conversations with the advisers will also give you a feel for how your personalities mesh. Ask questions, and check out their credentials and disciplinary history, too. Make sure you understa

      1 min read

    • Article

      When It Comes to Investing, Diversification Is Not All the Same

      Sep 9, 2019

      When the stock market took a dive in 2008, plenty of people thought their portfolios were well protected against anything too dire. After all, they had carefully made sure they had a diversified lineup of investments, as nearly everyone recommended.

      2 min read

    • Article

      Financial Opportunities for Wealthy Families During the Coronavirus Crisis

      Mar 31, 2020

      The headlines over the past weeks have been riddled with two serious threats to the health and well-being of people across the U.S. The first and obvious threat is the novel coronavirus (COVID-19) outbreak. The other obvious danger is the stock marke

      3 min read

    • Article

      6 Ways Investors Can Seize the Moment During the Pandemic

      May 20, 2020

      These are anxious times for investors -- both young and old. For younger investors, who've been happily watching their savings grow during an 11-year bull market, this may be their first time experiencing a crash and the accompanying fears of a rece

      4 min read

    • Article

      5 Quick and Dirty Questions to Pick a Financial Adviser

      Apr 3, 2022

      Registered adviser, fiduciary, independent adviser, investment adviser representative, RIA, licensed, designated, unbiased, what does it all mean?  As an investor seeking an adviser, it can certainly be confounding.  Various types of licenses, design

      3 min read

    • Article

      (share) Fight Club

      May 2, 2024

      (share) Fight Club
      5 min read

    • Article

      FDIC, SPIC: Who’s Protecting Your Assets?

      Oct 29, 2020

      The Federal Deposit Insurance Corp. covers bank deposits. The Securities Investor Protection Corp. protects brokerage accounts. But in December 2018, Robinhood, the brokerage firm and mobile app, announced that it was offering a high-interest checkin

      2 min read

    • Article

      How to Find a Financial Planner You Trust

      Jun 5, 2020

      The coronavirus pandemic touched off increased demand for toilet paper, Clorox wipes, at-home hair coloring kits--and financial advice. A recent survey by the Certified Financial Planner Board of Standards found that nearly 80% of CFPs had seen an up

      7 min read

    • Article

      The Real Truth About Variable Annuities

      Sep 24, 2018

      "One of the most misunderstood investment strategies I've come across over the past 25 years is the variable annuity," writes Investment Adviser Representative Craig Kirsner in a recent column on Kiplinger.com. I agree with that statement. But not fo

      7 min read

    • Article

      5 Bear Market Lessons Learned from 20 Years as a Financial Adviser

      Apr 15, 2020

      It was a brutal start for stock investors in 2020. February and March saw some of the worst one-day point drops in the Dow's history. April may be just as volatile. As bad as it is, there are lessons we can learn from the recent stock market downtur

      3 min read

    • Article

      Beware Of Unregulated Investments

      Jul 29, 2022

      UNREGULATED INVESTMENTS, many of which are high-risk, not only in the sense of the asset class but also potentially in terms of the underlying assets – and some of which are just outright scams – have become a major problem in the UK. Since the intro

      3 min read

    • Article

      An Overview of Self-Directed IRAs: Basics for Investors

      Dec 7, 2020

      Traditional IRAs have been around for 46 years, with the enabling legislation passed by Congress in 1974! Roth IRAs started in 1997 as part of the far-reaching Taxpayer Relief Act of that year. Over time many of the rules and requirements have been m

      2 min read

    • Article

      Annuities Pitched With a Free Dinner? Be Wary

      Jan 31, 2019

      After years of declining sales, annuities are hot again. Annuity sales in 2018 were projected to top $230 billion--a 13% increase over 2017--reports the Limra Secure Retirement Institute, an industry research group. Part of the reason for the resurge

      7 min read

    • Article

      Balasa Dinverno Foltz LLC

      Oct 12, 2019

      Balasa Dinverno Foltz LLC
      3 min read

    • Article

      Yes, Investing Feels Scary Right Now

      May 7, 2020

      If you were paying attention to the stock market over the past year or so (and not just for the past few weeks) you probably noticed things were getting volatile even before the coronavirus knocked the economy for a loop. A smooth and mostly carefre

      3 min read

    • Article

      7 Secrets Financial Advisers Won't Tell You

      Jun 3, 2019

      Your financial adviser is someone you need to trust, and the foundation for that trust is knowledge. You need to know exactly who you're working with, what standards they are held to and how they are making their money. Even if you think your advise

      5 min read

    • Article

      Avoid These 3 Potential Pitfalls to Help Protect Your Retirement Income

      Sep 24, 2019

      Investing is a challenge at any age, but as you near and reach retirement, it becomes especially important to help avoid making mistakes. When you're younger, you have more time to recover from the loss you suffer on a bad investment or when the mar

      5 min read

    • Article

      How to Avoid Being Robbed Blind After You Die

      Jul 16, 2018

      In February 2018, prominent NYC attorney Steven Etkind was arrested on charges of embezzling millions of dollars from a deceased client's estate. The client's will directed the creation of charitable trusts (of which Etkind served as co-trustee), fun

      5 min read

    • Article

      Want Stock Market Gains but Hate Risk? Buffer Annuities May Be for You

      Sep 2, 2020

      Fed Chairman Jerome Powell's first action when the COVID-19 pandemic hit was to further loosen monetary policy by dropping interest rates to near zero. There's almost nowhere for rates to go but up … or sideways. Neither scenario is rosy for investor

      4 min read

    • Article

      How to Build a Diversified Real Estate Investment Portfolio

      Nov 9, 2020

      Recent survey research by National Real Estate Investor magazine indicates that nearly 60% of high-net-worth investors are expected to increase their allocation to investment real estate in the next 12 months. Millions of Americans invest in alternat

      4 min read

    • Article

      How to Measure a Financial Adviser's Credibility

      Apr 10, 2019

      Financial advisers wield a large amount of influence over your financial health. It's important to remember that not all financial advisers are created equal, and not all individuals who claim to be financial advisers are educated or experienced in p

      4 min read

    • Article

      To Succeed at Investing, Do What Yale Does

      Jun 16, 2020

      The wealthiest and most successful investors in the world keep getting wealthier, not because they are lucky or privileged, but because they are playing a different game than the average investor. They do not rely on 401(k)s, average rates of return

      3 min read

    • Article

      Take A Closer Look At Hybrids

      Feb 26, 2020

      Take A Closer Look At Hybrids
      4 min read

    • Article

      Bull or Bear Market - Who Cares? With the Right Portfolio, It Shouldn't Matter

      Jul 16, 2018

      Volatility, that old villain, is at it again, putting stock market investors back on edge. What seemed to be an endless tunnel of love turned into a funhouse ride in February, with the Dow marking its biggest single-day point drop on Feb. 5 -- plung

      3 min read

    Reviews for Wiley Series 99 Exam Review 2013 + Test Bank

    0 ratings

    0 ratings0 reviews

    What did you think?

    Tap to rate

    Review must be at least 10 words