Introduction 1 What You''ll Find 1 Beyond the Book 2 Where to Go for Additional Help 2 Part I: The Questions 3 Chapter 1: Underwriting Securities 5 The Problems You''ll Work On 5 What to Watch Out For 5 1-34 Bringing New Issues to Market 6 35-44 Distribution of Profits 11 45-49 Types of Offerings 12 50-64 Exempt Securities and Transactions 13 Chapter 2: Equit y Securities 17 The Problems You''ll Work On 17 What to Watch Out For 17 65-77 Common Stock 18 78-89 Stock Splits and Dividends 19 90-104 Preferred Stock 21 105-108 American Depositary Receipts 23 109-118 Rights and Warrants 24 Chapter 3: Corporate and U.S. Government Debt Securities 27 The Problems You''ll Work On 27 What to Watch Out For 27 119-129 Types of Bonds 28 130-140 Price and Yield Calculations 29 141-155 Comparing Bonds 31 156-164 Convertible Bonds 33 165-181 U.S. Government Securities 34 182-189 Money Market Instruments 36 190-197 Accrued Interest 37 198-208 CMOs and CDOs 38 Chapter 4: Municipal Bonds 41 The Problems You''ll Work On 41 What to Watch Out For 41 209-224 GO and Revenue Bonds 42 225-244 Other Municipal Bonds and Notes 44 245-259 Tax Treatment of Municipal Bonds 46 260-272 Primary Market 49 273-324 Analysis and Recommendations 50 325-352 Municipal Bond Rules 57 Chapter 5: Margin Accounts 63 The Problems You''ll Work On 63 What to Watch Out For 63 353-356 Paperwork 64 357-366 Initial Margin Requirements 64 367-372 Long Account Calculations 65 373-375 Short Account Calculations 66 376-377 Combined Accounts 67 378-382 Excess Equity 67 383-386 Restricted Accounts 68 387-392 Rules 68 Chapter 6: Packaged Securities 71 The Problems You''ll Work On 71 What to Watch Out For 71 393-415 Types of Funds and Investment Recommendations 72 416-419 Discounts and Methods of Investing 75 420-423 Determining the Sales Charge and Public Offering Price 75 424-434 Taxation and Rules 76 435-440 Real Estate Investment Trusts 77 441-456 Fixed and Variable Annuities 78 Chapter 7: Direct Participation Programs 81 The Problems You''ll Work On 81 What to Watch Out For 81 457- 462 General and Limited Partners 82 463-467 Partnership Paperwork 82 468-481 Partnership Taxes 83 482-496 Checking Out Types of Partnerships 85 Chapter 8: Options 89 The Problems You''ll Work On 89 What to Watch Out For 89 497-519 Option Basics 90 520-528 Standard Option Math 92 529-544 Straddles and Combinations 94 545-569 Spreads 96 570-588 Stock and Options 99 589-599 Multiple Option Contracts 102 600-604 Splits and Dividends 103 605-623 Currency, LEAPS, Yield, and Index Options 104 624-640 Option Markets and Option Rules 106 Chapter 9: Portfolio and Securities Analysis 109 The Problems You''ll Work On 109 What to Watch Out For 109 641-648 Knowing Your Customer 110 649-659 Portfolio Management 111 660-672 Fiscal Policy, Money Supply, and the Fed 113 673-677 Definitions and Economic Indicators 115 678-693 Fundamental Analysis 115 694-704 Types of Issues and Risks 118 705-715 Technical Analysis 119 716-720 Indexes and Circuit Breakers 120 Chapter 10: Orders and Trades 123 The Problems You''ll Work On 123 What to Watch Out For 123 721-727 Securities Markets 124 728-735 Primary and Secondary Markets 125 736-741 Broker-Dealer 126 742-755 Types of Orders 127 756-762 Short Sales 129 763-773 Market Maker''s Book 130 774-780 Consolidated Tape 132 781-786 Reporting Systems 133 787-792 Securities Exchange Act of 1934 134 Chapter 11: Taxes and Retirement Plans 135 The Problems You''ll Work On 135 What to Watch Out For 135 793-798 Tax Categories and Types of Income 136 799-806 Interest Income and Taxes on Dividends 136 807-815 Capital Gains and Losses 138 816-822 Accretion and Amortization 139 823-829 Wash Sales, Gift, and Estate Taxes 141 830-848 Qualified and Non-Qualified Plans 142 849-860 Traditional and Roth IRAs 144 861-864 Health Savings Accounts 146 Chapter 12: Rules and Regulations 147 The Problems You''ll Work On 147 What to Watch Out For 147 865-879 SROs and Agent Registration 148 880-890 The USA Patriot Act and Anti-Money Laundering Rules 150 891-912 Opening Customer Accounts 152 913-929 Order Tickets, Trade Confirmations, and Account Statements 155 930-946 Payment and Delivery 158 947-952 Complaints and Legal Remedies 160 953-958 Transferring Accounts 161 959-982 Other Important Rules 162 983-993 Violations 165 994-1001 FDIC and SIPC 167 Part II: The Answers 169 Chapter 13: Answers 171 Index 345.