I-Sales Registered Assistant Exam
Amazinga aphezulu emaFenjini amakhulu
Ukuhlolwa kochungechunge lwe-Series 11, ngokuyinhloko, i-truncated and simplified version yezingxenye ezilinganayo zokuhlolwa kwe- Series 7 . Kodwa-ke, phawula ukuthi amafemu okuthengisa amahhashi amakhulu kunazo zonke athambekele ekubambeni abasizi bawo abathengisiwe ekuthengiseni ulwazi oluphakeme kakhulu, abadinga ukuba badlulise kokubili izivivinyo ze-Series 7 no- Series 66 , izivivinyo ezifanayo abacebisi babo bezezimali okufanele badlule.
Izivimbelo ezibhalweni ze-Series 11
Isichungechunge 11 abasizi bokuthengisa abhalisiwe kumele babambelele kulezi zithibelo emsebenzini wabo wokusebenza:
- Kumelwe babe khona emzimbeni welunga labo lapho bekwamukela futhi beqhuba amakhosimende amakhondomu angafuneki noma uma beka izingcaphuno zamanani.
- Kumele kube ngaphansi kokuqondisa ngqo kwekhansela elibhalisiwe ngokufanele.
- Kungenzeka banganikeli iseluleko sokutshala izimali noma imibono.
- Angeke enze izincomo.
- Kungenzeka bangangeni ama-oda egameni le-firm member ngokwayo.
- Bangase bangamukeli noma bavule ama-akhawunti amasha.
- Kungenzeka bangabi abaqeqeshi abakhona ngaphambili.
- Bangase bangamukeli amasheya omasipala noma izinhlelo zokuhlanganyela ngokuqondile.
- Bangase bangayitholi isinxephezelo esisheshayo noma esingacacile ngenombolo noma ubungakanani bokuthengiselana abayisebenzayo.
Izinzuzo zabaSekeli Abadayisi Abathengi
Isichungechunge 11 umsizi wokuthengisa obhalisiwe singabaluleka kakhulu kumcebisi omatasa wezezimali noma ithimba lomeluleki wezezimali oluthola umthamo omkhulu wemilayezo yokuhweba engaceliwe kusuka kumakhasimende encwadini yakhe yebhizinisi .
Ukungalungi kwabaSekeli Abadayisi Abathengiwe
Umsizi wokuthengisa orejistwe obhekene nemingcele ebekwe ngenhla ngumuntu othole umyalelo ohlanzekile, ongakwazi ukunikeza iseluleko neseluleko. Umeluleki wezezimali werekhodi ngaleyo ndlela angase afune ukusingatha imiyalo engaceliwe, ukunikeza izeluleko ezinjalo kumaklayenti lapho kufanele khona, lapho le miyalo ingase ingaluleki.
Okuqukethwe kwe-Exam
Ukuhlolwa kwe-Series 11 kuqukethe imibuzo engu-50 futhi kuthatha ihora elilodwa. I-score ye-70% ibanga elidlulayo. Izindawo eziyinhloko zezingqikithi ezihlanganiswe ekuhlolweni yizi:
- Izinhlobo zezibambiso
- Ama-akhawunti wekhasimende nemiyalo
- Izimakethe zokuphepha
- Imithethonqubo yezimboni zokuphepha
Ngokubaluleke kakhulu, ukuhlolwa kwe-Series 11 kuhlola ulwazi:
- Amakilasi ajwayelekile; inani lemakethe / intengo yamanje; ama-fractional ukwabelana
- Izinhlobo zesitoko esikhethwayo, njenge-accumulative, convertible, callable and adjustable / variable variable
- Ukwahlukana phakathi kwamasheya ajwayelekile nalokho okukhethiwe kanye nezibambiso zezikweletu
- Izinhlobo zokukhethwa kanye nesigama sokuqala
- Amarisidi e-American depositary / amasheya (ADRs ne-ADSs)
- Amathenda okutshala izimali zendawo yokuhlala (ama-REIT)
- Izinhlobo zemikhiqizo yenkampani yokutshala izimali kanye nemali yokuhwebelana ngokuhwebelana (ETFs)
- Izinhlobo zama-akhawunti kanye nokuthengiselana okungenziwa ngayinye
- Ukwamukela ama-oda wamakhasimende nokuwadlulisela ekufezeni
- Izinhlobo zokuthengiselana kanye nemiyalo futhi uma zisetshenziswa
- Ulwazi oluzorekhodwa ithikithi lokuthenga amakhasimende
- Ukunquma ikhono lomthengi lokuletha izibambiso ezithengiswayo
- Izidingo zokuhlala
- Izimakethe zokugcina izimpahla kanye nokungafani phakathi kwezimakethe ze-auction kanye nomthengisi
- I-terminology ehlobene nokuthengiswa kwemfihlo
- Izidingo ezisemthethweni ngesikhathi sokuhweba
- Izindleko ze-SEC ne-Federal Reserve
- Izindleko ze-FINRA nezinye izinhlangano zokuzilawula
- I-Securities Exchange Act ka-1934
- Ukuhweba kwangaphakathi
- I-FINRA ne-NASD ilawula imithetho yokubhalisa, iziqu kanye nemfundo eqhubekayo
- Imithetho yokuziphatha kobuchwepheshe
- Izinqubo zokuqapha kanye nokuhambisana nezinkampani zamalungu