Series 4 Exam Tomorrow? This Afternoon? Pass? Fail? This 60 Minutes May Be the Difference! скачать в хорошем качестве

Series 4 Exam Tomorrow? This Afternoon? Pass? Fail? This 60 Minutes May Be the Difference!

Time stamps: 1:14 Types of accounts 1:34 Institutional accounts 1:55 Fiduciary accounts 2:20 Discretionary accounts 2:59 Complete description of an option contract is the SERIES! 3:32 Limited power of attorney versus full power of attorney 4:34 Not Held order is NOT a discretionary order. Decisions about time and price are not discretionary. 5:00 Opening an options account 5:58 Date of delivery of the ODD 6:30 Investment objective: hedging or speculation 7:22 Approval of an options account 8:15 Closing or offsetting transactions if the option agreement not returned in 15 days 9:13 Uncovered options 11:12 Level of options approval 12:00 Anti-Money Laundering (AML) 12:23 Bank Secrecy Act 12:45 Currency Transaction Report 12:50 Customer Identification Procedures (CIP). OFAC (office of Foreign Asset Control) 13:43 Suspicious Activity Report (SAR) 13:55 Red flags 14:00 Series 9 is NOT a Series 4 14:20 Series 9 can't approve Retail Communication or Option Templates 15:14 Capping and pegging 15:45 AML officer 16:26 Customer suitability 17:38 Regulation BI 18:54 Option positions 27:03 Margin accounts 27:15 Reg T is 50% 27:24 Minimum is $2,000 or 100% of the purchase price if under $2,000 31:11 Initial margin for uncovered option 32:04 Minimum for uncovered option 32:00 Pattern Day trader 32:30 Customer complaints 34:12 Record retention for complaints is 4 years 34:55 Complaints filed quarterly unless...... 34:47 Cancel and rebill 35:08 Error account 35:49 Large position reporting 37:20 Prohibited activities and trading abuses 39:09 Order information 39:45 Contrary Exercise Advice 40:53 Stock splits and stock dividends 41:43 Assignment and settlements 43:43 Retail communications 45:10 Option worksheet 46:30 Option strategies 46:45 Spreads 49:40 Series 4 duties and Series 9 are not Series 4 52:00 Synthetic options 53:00 Straddles and combinations 53:46 Strangles 54:16 Butterfly spread 55:35 FLEX options 56:10 VIX options 57:26 Cease trading and expiration 57:44 Cabinet trades 58:10 Fast market 58:20 Trading halts 59:00 Tax rules 59:48 Potpourri