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The go-to guide to acing the Series 57 Exam! Passing The Securities Trader Examination (Series 57) qualifies an individual to engage in NASDAQ and OTC Equity trading and to act as a proprietary trader. The exam covers Market Overview and Products, Engaging in Professional Conduct and Adhering to Regulatory Requirements, Trading Activities, Maintaining Books and Records and Trade Reporting. There are no prerequisites to taking the series 57 exam other than being sponsored by a FINRA member firm....
| Автор | Wiley |
The go-to guide to acing the Series 66 Exam! Passing the Uniform Combined State Law Examination (Series 66) qualifies an individual to represent both a broker-dealer and an investment adviser. It covers such topics as client investment strategies and ethical business practices. Taken as a corequisite with the Series 7 Exam, candidates must complete the Series 66 Exam in order to register as an agent with a state securities administrator. Created by the experts at The Securities Institute of...
| Автор | Wiley |
Innovation requires teaming. (Put another way, teaming is to innovation what assembly lines are to car production.) This book brings together key insights on teaming, as they pertain to innovation. How do you build a culture of innovation? What does that culture look like? How does it evolve and grow? How are teams most effectively created and then nurtured in this context? What is a leader's role in this culture? This little book is a roadmap for teaming to innovate. We describe five necessary...
| Автор | Amy C. Edmondson |
The go-to guide to acing the Series 63 Exam! Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business...
| Автор | Wiley |
Es gibt viele Projekte, die nicht nur fur schlechtes Projektmanagement bekannt sind, sondern auch fur mangelhafte Information und Kommunikation – prominentestes Beispiel ist wohl der Flughafen Berlin Brandenburg. Tatsachlich ist aktive und reaktive Projekt-PR ein wichtiger Erfolgsfaktor im Projektmanagement, vollig unabhangig von der Gro?e des Projekts. Verantwortlich dafur ist der Projektmanager, gemeinsam mit allen, die Verantwortung fur die Planung, Finanzierung und Ausfuhrung eines Projekts...
| Автор | Manfred Noé |
The go-to guide to acing the Series 6 Exam! Passing the Series 6 Exam qualifies an individual to function as an agent of a broker dealer and allows the limited representative to transact business in mutual funds (closed-end funds on the initial offering only), unit investment trusts, variable annuities, and variable life insurance products. In addition to passing the Series 6 Exam, an agent may be required to pass a state life insurance exam to transact business in variable contracts. Created by...
| Автор | Wiley |
The go-to guide for the Series 3, with practice, examples, strategies, and more Wiley Series 3 Exam Review 2017 + Test Bank is a comprehensive study guide for the FINRA Series 3 exam, which qualifies candidates to sell commodities or futures contracts. Created by the experts at The Securities Institute of America, Inc., this useful guide provides the information and practice you need to ace the exam. The book is designed to help you build and fine-tune your knowledge of each subject area...
| Автор | Wiley |
"This book is of the kind you always wanted but didn't think would or could ever exist: the universal field theory of problem solving." Tom Sommerlatte Typically today's tasks in management and consulting include project management, running workshops and strategic work – all complex activities, which require a multitude of skills and competencies. This standard work, which is also well accepted amongst consultants, gives you a reference or cookbook-style access to the most important tools,...
| Автор | Nicolai Andler |
The go-to guide to acing the Series 99 Exam! Passing the Operations Professional Qualification Exam (Series 99) qualifies an individual to perform a variety of operations functions in support of a broker-dealer. The exam covers the broker-dealer business at a fundamental level, standard operations functions, investor protection and market integrity regulations, identifying and escalating regulatory red-flag issues to the appropriate person in a firm, and professional conduct and ethical...
| Автор | Wiley |
The go-to guide to acing the Series 65 Exam! Consisting of 130 multiple-choice questions in the areas of ethics and legal guidelines, investment strategies, investment vehicles, and economics and analysis, the Uniform Investment Adviser Law Examination (Series 65) is designed to qualify candidates as investment adviser representatives. An indispensable resource for anyone preparing to take this tough three-hour exam, Wiley Series 65 Exam Review 2017 was created by the experts at The Securities...
| Автор | Wiley |
The go-to guide to acing the Series 26 Exam! Passing the Investment Company Products/Variable Contracts Limited Principal Qualification Exam (Series 26) qualifies an individual to operate as a principal responsible for supervising and managing a firm and its agents conducting business in open-end mutual funds, variable annuities, and life insurance. The exam covers hiring and qualification, training of representatives, supervision, sales practices, and business processing and recordkeeping...
| Автор | Wiley |
Best practices for picking up the pieces when projects fail There are plenty of books available offering best practices that help you keep your projects on track, but offer guidance on what to do when the worst has already happened. Some studies show that more than half of all large-scale project fail either fail completely, or at least miss targeted budget and scheduling goals. These failures cost organizations time, money, and labor. Project Recovery offers wise guidance and real-world best...
| Автор | Harold Kerzner, Ph.D. |
Are you complying with health and safety regulations in the workplace? Making mistakes in many areas of health and safety can be both incredibly dangerous and hugely costly. So what can you do to avoid hazards and expensive, time-consuming legal battles? That's where Health & Safety at Work For Dummies comes in. Cutting through the clutter, it provides you with the practical, must-know information you need to ensure your workplace is a suitably safe environment that complies with government...
| Автор | RRC |
Business Ethics: An Ethical Decision-Making Approach presents a practical decision-making framework to aid in the identification, understanding, and resolution of complex ethical dilemmas in the workplace. Focuses exclusively on three basic aspects of ethical decision making and behavior—how it actually takes place, how it should take place, and how it can be improved Uses real-life examples of moral temptations and personal ethical dilemmas faced by employees and managers Discusses the biases,...
| Автор | Mark Schwartz S. |
A GUIDE TO EFFECTIVE PROJECT MANAGEMENT IN TECHNOLOGY-BASED FIRMS Used effectively, project management can increase a firm’s market share, product quality, and customer satisfaction. Though technology-based companies place themselves at a competitive disadvantage if they neglect this strategic tool, many overlook project management’s benefits because they see themselves as continuously adapting organizations. In reality, this role makes project management even more vital. Managing...
| Автор | Hans J. Thamhain |
Positive Psychology and Change explores how areas of positive psychology such as strengths, flow, and psychological capital can be applied to the everyday challenges of leading a dynamic and adaptive work community, and how collaborative group approaches to transformational change can be combined with a positive mindset to maintain optimism and motivation in an unpredictable working environment. Articulates a unique vision for organizational leadership in the 21st century that combines positive...
| Автор | Sarah Lewis |
The go-to guide to acing the Series 10 Exam! Passing the General Securities Sales Supervisor Qualification Exam (Series 9 and 10) qualifies an individual to supervise sales activities in corporate, municipal, and option securities; investment company products; variable contracts; and direct participation programs. The exam covers hiring, qualification, and continuing education; supervision of accounts and sales activities; conduct of associated persons; recordkeeping requirements; and municipal...
| Автор | Wiley |
The go-to guide to acing the Series 62 Exam! Passing the Corporate Securities Limited Representative Exam (Series 62) qualifies an individual as a representative for the sale of public offerings and/or private placements of corporate securities, rights, warrants, closed-end funds, money market funds, REITs, asset-backed securities, mortgage-backed securities, and more. Topics covered on the exam include characteristics of securities and investments, the market for corporate securities,...
| Автор | Wiley |
The go-to guide to acing the Series 4 Exam! The Registered Options Principal Qualification Examination (Series 4) was designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. After passing the exam, a registered person may supervise a FINRA member firm's options business and is qualified to oversee trades on all forms of options, from equity options to foreign currency options to...
| Автор | Wiley |
The most comprehensive guide to the Series 7 exam in the marketplace includes a self-directed study guide with all the most essential information to becoming a stockbroker. Areas covered include: Stocks, Debt Securities, Investment Banking, Securities Markets, Taxes, Securities Analysis, Self-Regulatory Organizations (SRO's), Mutual Funds and Investment Companies, Annuities, Margin, Options, Money Market Instruments, Direct Participation Programs and Municipal Securities. There is no...
| Автор | Wiley |
The definitive guide to running productive meetings Facilitating With Ease! has become the go-to handbook for those who lead meetings, training, and other business gatherings. Packed with information, effective practices, and invaluable advice, this book is the comprehensive handbook for anyone who believes meetings should be productive, relevant, and as short as possible. Dozens of exercises, surveys, and checklists will help transform anyone into a skilled facilitator, and clear, actionable...
| Автор | Ingrid Bens |
The go-to guide to acing the Series 24 Exam! Passing the General Securities Principal Qualification Examination (Series 24) qualifies an individual to act as a principal of a general securities broker-dealer and to supervise the firm and its agents. The exam covers the supervision of such areas as investment banking, underwriting, and research practices; trading and market-making; brokerage office operations; and sales practices and agents, as well as compliance with financial responsibility...
| Автор | Wiley |
In the second edition of the best-selling Becoming a Strategic Leader, Richard L. Hughes, Katherine Colarelli Beatty, and David L. Dinwoodie draw from the Center for Creative Leadership's (CCL) acclaimed Leading Strategically program to offer executives and managers a comprehensive approach to strategic leadership that reaches leaders at all levels of organizations. This thoroughly revised edition concentrates on practical tools for producing impact right away. The authors place special emphasis...
| Автор | David Dinwoodie |
The first book demonstrating how to apply the principles of social network analysis to managing complex projects This groundbreaking book gets project managers and students up to speed on state-of-the-art applications of social network analysis (SNA) for observing, analysing, and managing complex projects. Written by an expert at the leading edge of the SNA project management movement, it clearly demonstrates how the principles of social network analysis can be used to provide a smarter, more...
| Автор | Stephen Pryke |