Boston Institute of Finance Mutual Fund Advisor Course -- CONTENTS -- PREFACE -- Chapter 1: INVESTMENT SECURITIES -- INTRODUCTION -- MONEY AND CAPITAL MARKETS -- COMMON STOCK -- CORPORATE BONDS -- INTEREST RATE RISK -- YIELDS -- RIGHTS -- CONVERTIBLE BONDS -- ZERO COUPON BONDS -- WARRANTS -- COLLATERALIZED MORTGAGE OBLIGATIONS -- INTEREST RATES AND BOND CONCEPTS -- US GOVERNMENT SECURITIES -- MUNICIPAL BONDS -- MONEY MARKET INSTRUMENTS -- INTERBANK MARKET FOR FOREIGN CURRENCIES -- EURODOLLAR BONDS -- ADDITIONAL CONCEPTS -- REVIEW QUESTIONS -- ANSWERS TO REVIEW QUESTIONS -- Chapter 2: SECURITIES MARKETS -- INTRODUCTION -- TYPES OF INVESTMENT RISK -- ECONOMIC FACTORS -- SUITABILITY AND RISK FACTORS -- REVIEW QUESTIONS -- ANSWERS TO REVIEW QUESTIONS -- Chapter 3: OPEN-END INVESTMENT COMPANIES -- INTRODUCTION -- TYPES OF FUNDS -- CLASSES OF SHARES -- MUTUAL FUND ACCOUNTS -- DISTRIBUTIONS BY FUNDS -- TAXATION OF MUTUAL FUNDS -- MUTUAL FUND EXPENSES -- REVIEW CONCEPTS -- IMPORTANT POINTS -- ADDITIONAL CONCEPTS -- REVIEW QUESTIONS -- ANSWERS TO REVIEW QUESTIONS -- Chapter 4: REGULATION OF INVESTMENT COMPANIES -- INTRODUCTION -- SALES CHARGES -- BREAKPOINTS -- ADVERTISING BY FUNDS -- MUTUAL FUND SALES LITERATURE -- DOLLAR COST AVERAGING -- NASD RULES CONCERNING INVESTMENT COMPANIES -- MUTUAL FUND SALES BY BANKS -- ADDITIONAL CONCEPTS -- REVIEW QUESTIONS -- ANSWERS TO REVIEW QUESTIONS -- Chapter 5: VARIABLE ANNUITIES AND RETIREMENT PLANS -- INTRODUCTION -- FIXED ANNUITIES -- VARIABLE ANNUITIES -- VARIABLE LIFE INSURANCE -- MAIN POINTS-VARIABLE LIFE INSURANCE CONTRACTS -- EMPLOYEE RETIREMENT INCOME SECURITY ACT OF 1974 -- KEOGH PLANS -- INDIVIDUAL RETIREMENT ACCOUNTS -- SIMPLIFIED EMPLOYEE PENSION PLAN -- PENSION AND PROFIT-SHARING PLANS -- 401(k) PLANS -- 403(b) PLANS -- REVIEW QUESTIONS -- ANSWERS TO REVIEW QUESTIONS.

Chapter 6: NASD RULES AND REGULATIONS -- CERTIFICATE OF INCORPORATION -- BYLAWS OF THE NASD -- ADVERTISING RULES -- BROKER/DEALERS -- RECOMMENDATIONS MADE TO CUSTOMERS -- PRIVATE SECURITIES TRANSACTIONS -- PROMPT RECEIPT AND DELIVERY OF SECURITIES -- PROXY MATERIAL -- NASD HOT-ISSUE RULES -- CHARGES FOR SERVICES -- CONFIRMATIONS -- DISCRETIONARY ACCOUNTS -- DEALING WITH NONMEMBERS -- OTHER PROVISIONS OF NASD RULES -- NASD CODE OF PROCEDURE -- UNIFORM PRACTICE CODE -- CONFIRMATIONS OR COMPARISONS -- GOOD DELIVERY OF SECURITIES -- TRADE DATE AND SETTLEMENT DATE -- INVESTMENT COMPANIES AND THE NASD RULES OF FAIR PRACTICE -- REVIEW QUESTIONS -- ANSWERS TO REVIEW QUESTIONS -- Chapter 7: FEDERAL AND STATE REGULATIONS -- SECURITIES ACT OF 1933 -- THE SECURITIES EXCHANGE ACT OF 1934 -- SECURITIES INVESTOR PROTECTION ACT OF 1970 -- STATE SECURITIES LAWS -- UNIFORM GIFTS TO MINORS ACT-UNIFORM TRANSFER TO MINORS ACT -- REVIEW QUESTIONS -- ANSWERS TO REVIEW QUESTIONS -- SERIES 6 GLOSSARY -- SERIES 6 FINAL EXAMINATION -- ANSWERS TO SERIES 6 FINAL EXAMINATION -- ADDITIONAL PRACTICE QUESTIONS 1 -- ANSWERS TO ADDITIONAL PRACTICE QUESTIONS 1 -- ADDITIONAL PRACTICE QUESTIONS 2 -- ANSWERS TO ADDITIONAL PRACTICE QUESTIONS 2 -- ADDITIONAL PRACTICE QUESTIONS 3 -- ANSWERS TO ADDITIONAL PRACTICE QUESTIONS 3 -- SERIES 63 TEST PREPARATION -- INTRODUCTION -- IMPORTANT TERMS -- LICENSING/REGISTRATION REQUIREMENTS -- CAPITAL REQUIREMENTS -- RECORDKEEPING -- ADMINISTRATIVE SANCTIONS -- REGISTRATION OF SECURITIES -- EXEMPT SECURITIES -- EXEMPT TRANSACTIONS -- FRAUDULENT AND OTHER PROHIBITED PRACTICES -- SUITABILITY -- REGULATORY OVERSIGHT -- CRIMINAL PENALTIES -- CIVIL LIABILITIES -- JUDICIAL REVIEW OF ADMINISTRATIVE ORDERS -- SCOPE OF THE ACT -- CONSENT TO SERVICE OF PROCESS -- ADDITIONAL CONCEPTS-UNIFORM SECURITIES ACT -- SERIES 63 PRACTICE QUESTIONS AND ANSWER EXPLANATIONS.

PRACTICE QUESTIONS 1 -- PRACTICE QUESTIONS 1-ANSWER EXPLANATIONS -- PRACTICE QUESTIONS 2 -- PRACTICE QUESTIONS 2-ANSWER EXPLANATIONS -- PRACTICE QUESTIONS 3 -- PRACTICE QUESTIONS 3-ANSWER EXPLANATIONS -- PRACTICE QUESTIONS 4 -- PRACTICE QUESTIONS 4-ANSWER EXPLANATIONS -- INDEX.