The Boston Institute of Finance Mutual Fund Advisor Course

Preface.
<p>Series 6 Test Preparation.</p>
<p>Introduction.</p>
<p>1. Investment Securities.</p>
<p>Introduction.</p>
<p>Money and Capital Markets.</p>
<p>Common Stock.</p>
<p>Yield on Common Stock.</p>
<p>Preferred Stock.</p>
<p>Corporate Bonds.</p>
<p>Other Types of Corporate Bonds.</p>
<p>Convertible Bonds.</p>
<p>Zero Coupon Bonds.</p>
<p>Order of Payment–Corporate Liquidation.</p>
<p>Interest rate Risk.</p>
<p>Yields.</p>
<p>Rights.</p>
<p>Warrants.</p>
<p>Collateralized Mortgage Obligations (CMO′s).</p>
<p>Interest Rates and Bond Concepts.</p>
<p>U.S. Government Securities.</p>
<p>Municipal Bonds.</p>
<p>Money Market Instruments.</p>
<p>Bankers′ Acceptances.</p>
<p>Commercial Paper.</p>
<p>Negotiable Certificates of Deposit.</p>
<p>Inter–Bank Market for Foreign Currencies.</p>
<p>Eurodollar Bonds.</p>
<p>Additional Concepts.</p>
<p>2. Securities Markets.</p>
<p>Introduction.</p>
<p>Types of Investment Risk.</p>
<p>Economic Factors.</p>
<p>Suitability and Risk Factors.</p>
<p>3. Open End Investment Companies.</p>
<p>Introduction.</p>
<p>Types of Funds.</p>
<p>Classes of Shares.</p>
<p>Mutual Fund Accounts.</p>
<p>Distributions by Funds.</p>
<p>Taxation of Mutual Funds.</p>
<p>Mutual Fund Expenses.</p>
<p>Review Concepts.</p>
<p>Comparison Open End vs. Closed End Funds.</p>
<p>Important Points.</p>
<p>Additional Concepts Investment Companies.</p>
<p>4. Regulation of Investment Companies</p>
<p>Face Amount Certificate Companies.</p>
<p>Sales Charges.</p>
<p>Breakpoints.</p>
<p>Rights of Accumulation.</p>
<p>Advertising by Funds.</p>
<p>Mutual Fund Sales Literature.</p>
<p>Dollar Cost Averaging.</p>
<p>NASD Rules Concerning Investment Companies.</p>
<p>Mutual Fund Sales by Banks.</p>
<p>Additional Concepts Investment Company Regulations.</p>
<p>5. Variable Annuities and Retirement Plans.</p>
<p>Introduction.</p>
<p>Fixed Annuities.</p>
<p>Variable Annuities.</p>
<p>Additional Concepts Variable Annuities.</p>
<p>Variable Life Insurance.</p>
<p>Main Points Variable Life Insurance Contracts.</p>
<p>Employee Retirement Income Security Act of 1974 (ERISA).</p>
<p>Keogh Plans.</p>
<p>Individual Retirement Accounts.</p>
<p>Simplified Employee Pension Plan (SEP).</p>
<p>Pension and Profit Sharing Plans.</p>
<p>401(k) Plans.</p>
<p>403 B Plans.</p>
<p>6. NASD Rules and Regulations.</p>
<p>Certificate of Incorporation.</p>
<p>By Laws of the NASD.</p>
<p>Advertising Rules.</p>
<p>Broker/Dealers.</p>
<p>Recommendations Made to Customers.</p>
<p>Private Securities Transactions.</p>
<p>Prompt Receipt and Delivery of Securities.</p>
<p>Proxy Material.</p>
<p>NASD Hot Issue Rules.</p>
<p>Charges for Services.</p>
<p>Confirmations.</p>
<p>Discretionary Accounts.</p>
<p>Dealing with Non Members.</p>
<p>Other Provisions of NASD Rules.</p>
<p>NASD Code of Procedure.</p>
<p>Uniform Practice Code.</p>
<p>Confirmations or Comparisons.</p>
<p>Good Delivery of Securities.</p>
<p>Trade Date and Settlement Date.</p>
<p>Investment Companies and NASD Rules of Fair Practice.</p>
<p>7. Federal and State Regulations.</p>
<p>The Securities Act of 1933.</p>
<p>Exempted Securities Under the 1933 Act.</p>
<p>Red Herring Prospectus.</p>
<p>Final Prospectus.</p>
<p>Effective Date of Registration Statement.</p>
<p>Liabilities Under the 1933 Act.</p>
<p>The Securities Exchange Act of 1934.</p>
<p>Insider Transactions.</p>
<p>Market Manipulation.</p>
<p>Securities Investor Protection Act of 1970.</p>
<p>State Securities Laws.</p>
<p>Uniform Gifts/Transfer to Minors Act.</p>
<p>Glossary.</p>
<p>Series 6 Final Exam.</p>
<p>Additional Practice Questions 1, 2 and 3.</p>
<p>Series 63 Test Prep.</p>
<p>Series 63 Questions and Answer Explanations.</p>
<p>Index.</p>