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Synopsis
Get the test prep help you need to be successful on the Series 56 test. The Series 56 Exam is extremely challenging and thorough test preparation is essential for success. Series 56 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass the Series 56 Exam. Series 56 Exam Secrets Study Guide includes: A detailed overview of the Series 56 Exam, An examination of personnel, business conduct, recordkeeping and reporting requirements, A breakdown of markets, market participants, exchanges, and SROs, An in-depth look at types and characteristics of securities and investments, A guide to trading practices and prohibited activities, An analysis of display, execution, and trading systems. It's filled with the critical information you'll need in order to do well on the test: the concepts, procedures, principles, and vocabulary that the Financial Industry Regulatory Authority (FINRA) expects you to have mastered before sitting for the exam. The Personnel, Business Conduct, Recordkeeping and Reporting Requirements section covers: Supervisory responsibility in a participant firm, Statutory disqualifications, Suspension of NYSE MKT members, Requirements for accountants reports. The Markets, Market Participants, Exchanges, and SROs section covers: Investment company, Market maker, Obligations of a designated primary market maker on the CBOE, Securities exchange act of 1934 terms. The Types and Characteristics of Securities and Investments section covers: Common stock and stockholder rights, Stock terms, Underlying security, Types of orders and strategies. The Trading Practices and Prohibited Activities section covers: Exchange members and laws, Prohibitions, Prohibited activities, Submitting exchange transactions for
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Series 56 Exam Secrets Study Guide: Series 56 Test Review for the Proprietary Trader Examination
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