TIME STAMPS:
00:00 Introduction
2:55 QDRO
3:43 457 deferred comp
4:23 Capital Asset Pricing Model
5:00 Model Portfolio Theory
6:16 No correlation
7:29 Negative correlation
7:49 Beta
8:02 Alpha
8:39 Rule 147 Intrastate Offering
10:14 Discounted Cash Flow
11:24 Dividend Discount Model
13:06 should read NOT QUALIFY FOR TSA choice A. Students!
13:39 Duration
14:40 403b TSA Should read EXCEPT
16:20 Access persons
17:19 Sharpe ratio
17:58 Precious metals
18:40 Client confidentiality
19:15 Debt to equity
20:36 Exchange Traded Note (ETN)
21:20 Registration renewal
21:45 Tenure of fund manager
23:18 Strong form of efficient market hypothesis
24:06 Assignment of the investment advisory contract
25:15 Class A shares
25:45 Discounted Cash Flow
26:08 Qualified dividend
27:16 Liquidation priority
30:04 12b1 fees
30:44 .25 12b1 fee
31:07 Equity index annuity
32:20 Soft dollar compensation
33:03 S&P 500 as benchmark for large cap
33:34 Third party solicitor
34:46 Definition of an Investment advisor
36:08 60 day appeal
36:19 Investment Advisor Representative definition
36:45 $35K net worth for IA with custody
36:50 Bond at a premium
37:54 High beta
38:21 Coordination
38:38 Municipal bond suitability
39:05 Semi strong efficient market hypothesis
39:30 Constant dollars
39:56 Russell 2000 as benchmark for small cap
41:00 457 deferred comp are NOT covered by ERISA.
41:15 NOT persons
41:59 IA 1092 release
42:45 de minimus
43:45 AUM for state covered IA below $100 Million
44:18 Registrations expire December 31
44:51 $10K net worth for IA without custody
44:59 Definition of a broker/dealer
45:41 Exempt form USA
47:00 Record retention
47:08 Access person
47:42 Form ADV
47:55 Broker/dealer registration
49:50 Federally covered securities
50:13 Notice filing
50:42 NOT sales under the USA
52:00 Administrator jurisdiction over offers
52:57 Weak form of efficient market hypothesis
53:34 Index fund
54:01 Criminal penalties under the USA
55:11 30 day advance notice of fee changes
55:24 Misuse of professional designations
56:02 Hedge clauses
58:02 FORM ADV
58:05 120 days from year end
58:20 Solicitors brochure
59:41 Series 7 and Series 65 accredited investors?
1:01:05 Red flags money laundering
1:02:05 Solicitor's brochure
1:03:46 Trusts
1:04:15 Class A shares versus Class B shares
1:04:45 Change in control
1:05:40 12nb1 fees
1:05:44 Letter of intent
1:06:44 Inherited IRA
1:07:44 Tracking errors in an index fund
1:08:35 IAR becomes trustee
1:09:25 Private funds
1:11:24 Book value
1:11:53 Technical analysis
1:12:48 401k
1:13:00 Third party research
1:15:40 Written Supervisory Procedures (WSP)
1:16:38 Private funds
1:17:38 Unit Investment Trust (UIT)
1:18:14 Dealer/Principal trade
1:18:44 Non issuer transaction
1:20:10 Accredited investor
1:21:18 Loan consent form
1:22:15 Closed end fund
1:23:27 Dollar cost averaging
1:24:38 Pending registration
1:25:37 Investor experience
1:26:17 Disclose agent security holding?
1:27:16 Firm net worth
1:27:49 Stop order
1:28:05 Gift of securities
1:28:50 Third party trade written authorization
1:31:00 Segregation