1. Investment Companies and Variable Contracts Products and Their Regulation
* Investment company organization, registration, regulation, products and sales practices
* Securities Act of 1933 and Securities Exchange Act of 1934 with respect to investment companies
* Regulation D private placements
* Investment Adviser Act of 1940
* Variable contracts products
2. Financial Planning
* Financial planning process and concepts
* Investment management, education and retirement
* Insurance issues, income taxation and estate planning
* Investment company and variable contracts products
3. Securities Offerings
* Regulation A and Regulation D private offerings
* Public offerings
* Market structure, pricing and trading
* Market rules and regulations
* Securities exchange and over-the-counter market trading
* Options markets and strategies
* Fixed income markets and their products
* Margin regulations
4. Broker-Dealer Operations and Conduct
* Customer account opening and maintenance
* Trading securities
* Account executive duties and responsibilities
* Margin accounts
* Cash accounts and omnibus accounts
* Clearance and settlement
* Financial reporting
* Supervision of customer accounts
* Regulatory compliance
* Investment banking and underwriting
* Market making
* Securities firm operations
5. Economic Factors and Business Information
* The federal reserve system
* Monetary policy
* Banking institutions and financial markets
* Economic indicators and economic data
* Corporate structure
* Financial statements
* Business and economic analysis
6. Ethics, Misconduct and Arbitration
* Ethics and professional responsibility
* Customer protection and fair dealings
* Misconduct
* Arbitration
* Code of Arbitration Procedure