Mastering Series 9/10: General Securities Sales Supervisor Exam Prep

By Innoware PJP

Mastering Series 9/10: General Securities Sales Supervisor Exam Prep

Table of Contents

Chapter 1: Introduction to Series 9/10 Exam
Chapter 2: Regulatory Environment and Industry Standards
Chapter 3: Supervision of Registered Representatives
Chapter 4: Compliance and Business Conduct
Chapter 5: Investment Products and Associated Risks
Chapter 6: Trading and Market Operations
Chapter 7: Investment Analysis and Valuation
Chapter 8: Economic Factors and Industry Analysis
Chapter 9: Customer Account Supervision
Chapter 10: Practice Exams and Sample Questions
Chapter 11: Conclusion and Final Thoughts
Chapter 12: Series 9/10 Exam-Day Tips and Strategies
Chapter 13: After the Exam - Results and Next Steps
Chapter 14: Compliance and Professional Ethics for General Securities Sales Supervisors
Chapter 15: Building Strong Client Relationships and Providing Excellent Service

• Format: Paperback
• Language: English
• ISBN: B0CDNM85BZ
• ISBN13: 9798854876919
• Release Date: August 2023
• Publisher: Independently Published
• Length: 72 Pages
• Weight: 0.24 lbs.
• Dimensions: 0.1" x 6.0" x 9.0"