Securities Licensing: Series 6 Online
Price: $ 105.00 (USD)
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You will receive 50 credits (CE) upon completion of this course.
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Course Description
This course is designed for individuals who wish to sell only investment company products (e.g., mutual funds and money-market funds) and variable annuities for an NASD broker-dealer and firms that sell primarily insurance-related products. This course covers how to assess the needs of an investor and suggests the most appropriate solution.
This course covers: Stocks, Debt Securities, Investment Banking, Securities Markets, Investment Risks and Policies, Investment Companies, Taxation, Customer Accounts, Mutual Funds, Self Regulatory Organizations (SRO’s), Securities Analysis, Retirement Plans, Variable Annuities and Variable Life Insurance.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
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This course covers: Stocks, Debt Securities, Investment Banking, Securities Markets, Investment Risks and Policies, Investment Companies, Taxation, Customer Accounts, Mutual Funds, Self Regulatory Organizations (SRO’s), Securities Analysis, Retirement Plans, Variable Annuities and Variable Life Insurance.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
Course Outline
LEARNING OBJECTIVES:
· Identify features of different securities, including stocks and bonds.
· Describe the usage of options contracts.
· Compare and contrast types of investment companies.
· Discuss investment company structure, registration and taxation.
· Analyze different investing strategies and their relevance to customers.
· Understand the mechanics of fixed and variable annuities.
· Differentiate among retirement accounts, including IRAs, Keogh Plans and others.
· List important legal requirements in the financial services industry.
· Apply the four main bylaws of NASD.
· Summarize ethical conduct standards for Registered Representatives.
TOPICS COVERED:
· Introduction
· LESSON 1: Securities Markets, Investment Risks and Policies
· LESSON 2: Investment Companies, Mutual Funds, New Accounts and Taxes
· LESSON 3: Variable Annuities, Variable Life Insurance and Retirement Plans
· LESSON 4: Securities Industry Rules and Regulations
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· Identify features of different securities, including stocks and bonds.
· Describe the usage of options contracts.
· Compare and contrast types of investment companies.
· Discuss investment company structure, registration and taxation.
· Analyze different investing strategies and their relevance to customers.
· Understand the mechanics of fixed and variable annuities.
· Differentiate among retirement accounts, including IRAs, Keogh Plans and others.
· List important legal requirements in the financial services industry.
· Apply the four main bylaws of NASD.
· Summarize ethical conduct standards for Registered Representatives.
TOPICS COVERED:
· Introduction
· LESSON 1: Securities Markets, Investment Risks and Policies
· LESSON 2: Investment Companies, Mutual Funds, New Accounts and Taxes
· LESSON 3: Variable Annuities, Variable Life Insurance and Retirement Plans
· LESSON 4: Securities Industry Rules and Regulations
More Information
| Language | English |
| Course Length | 50.00 hours |
| Duration of Access | 120 Days from Purchase |
| Continuing Education Credits | 50 |
| Instructor | Self Study |
| Vendor | 360 Training (Read more about 360 Training accreditation.) |
| Course Certification | None |
| Prerequisites/Audience | None |
| Requirements/Materials Included | None |
Price: $ 105.00 (USD)
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