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Series 9 Exam & Series 10 Exam Complete Package - Product Image

Series 9 Exam & Series 10 Exam Complete Package

  • ID: 2640929
  • October 2013
  • Securities Institute of America, Inc

This specially priced package is ideal for Learning and Exam 9 & 10 Preparation.

The set include:

- The Comprehensive Series 9 Textbook
- The Series 9 Exam Prep Software
- The Comprehensive Series 10 Textbook
- The Series 10 Exam Prep Software

Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise a firm’s sales activities in corporate, municipal, and option securities; investment company products; variable contracts; and direct participation programs. The exam covers the full range of topics related to options regulation.

This package is designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you’re prepared mentally and strategically to take the test, it provides:

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

The exam prep software included in the package allows you to take practice tests anytime, anywhere using any PC, Mac, Phone or Tablet. With hundreds of proven questions the exam prep software is a must have product to ensure you have mastered the knowledge and are ready to pass your series 9 and series 10 exams. The software works with all major browsers and mobile devices.

Note: Product cover images may vary from those shown

Series 9 Textbook

About The Series 9 Exam
About This Book
About The Test Bank

CHAPTER 1 OPTION BASICS
- Option Classifi cation
- Bullish vs. Bearish
- Possible Outcomes for an Option
- Exercise Price
- Characteristics of All Options
- Managing an Option Position
- Buying Calls
- Selling Calls
- Buying Puts
- Selling Puts
- Option Premiums
- Intrinsic Value and Time Value
- Pretest

CHAPTER 2 OPTION STRATEGIES
- Using Options as a Hedge
- Long Stock Long Puts/Married Puts
- Long Stock Short Calls/Covered Calls
- Short Stock Long Calls
- Short Stock Short Puts
- Multiple Option Positions and Strategies
- Spreads
- Analyzing Price Spreads
- Using a T Chart to Evaluate Option Positions
- Pretest

CHAPTER 3 INDEX, INTEREST RATE, AND CURRENCY OPTIONS
- Index Options
- Interest Rate Options
- Currency Markets
- Market Volatility Options (VIX)
- Flex Options
- Weekly Options
- Binary Options
- Pretest

CHAPTER 4 THE OPTIONS MARKETPLACE
- The Option Clearing Corporation
- The Options Markets
- The Chicago Board Option Exchange
- Opening and Closing Option Prices
- Fast Markets and Trading Halts
- Order Execution
- Types of Orders
- Priority of Option Orders
- Trade Reporting
- Option Order Tickets
- Expiration and Exercise
- American vs. European Exercise
- Position and Exercise Limits
- Stock Splits and Stock Dividends
- Pretest

CHAPTER 5 OPTION TAXATION AND MARGIN REQUIREMENTS
- Taxation of Options
- Option Contract Margin Requirements
- Pretest
CHAPTER 6 OPTION COMPLIANCE AND ACCOUNT SUPERVISION
- Duties of the ROSFP
- Option Account Compliance
- Option Agreements
- Option Account Supervision
- Large Option Position Reporting Requirements
- Customer Confi rmations and Account Statements
- Customer Complaints
- Communications with the Public
- FINRA Rule 2210 Communications with the Public
- Pretest

ANSWER KEYS
GLOSSARY OF EXAM TERMS
INDEX

See free downloads for sample questions and software screenshots.

Note: Product cover images may vary from those shown
Note: Product cover images may vary from those shown

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