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The agenda starts with an introduction covering the securities industry history and core definitions and terms (SEC, SRO, NYSE, NASD, MSRB, FINRA, NASAA). It then moves through capital markets, debt versus equity, major securities acts (1933 and 1934), mutual funds, options, and insurance products, followed by registration and regulation topics including broker-dealer, investment adviser, individual requirements, webCRD (U4), continuing education, and termination forms.",{"@graph":69,"@context":122},[70,84,105],{"@type":71,"itemListElement":72},"BreadcrumbList",[73,77,79,82],{"item":74,"name":75,"@type":76,"position":8},"https://docshare.wps.com","Home","ListItem",{"item":78,"name":9,"@type":76,"position":14},"https://docshare.wps.com/document/",{"item":80,"name":20,"@type":76,"position":81},"https://docshare.wps.com/document/exam/",3,{"item":83,"name":65,"@type":76,"position":19},"https://docshare.wps.com/document/silasecurities-basics-outline-3-hour-lecture-break-and-final-exam/390623/",{"url":83,"name":65,"@type":85,"image":86,"author":91,"headline":65,"publisher":94,"fileFormat":97,"inLanguage":63,"description":67,"dateModified":98,"datePublished":99,"encodingFormat":97,"isAccessibleForFree":100,"interactionStatistic":101},"DigitalDocument",{"url":87,"@type":88,"width":89,"height":90},"https://docshare.wps.com/thumbnails/silasecurities-basics-outline-3-hour-lecture-break-and-final-exam/390623.png","ImageObject",300,407,{"name":92,"@type":93},"Pentious","Person",{"url":74,"name":95,"@type":96},"DocShare","Organization","application/pdf","2026-10-28","2026-09-25",true,{"@type":102,"interactionType":103,"userInteractionCount":52},"InteractionCounter",{"@type":104},"ViewAction",{"@type":106,"mainEntity":107},"FAQPage",[108,114,118],{"name":109,"@type":110,"acceptedAnswer":111},"What are the main topics covered in the securities basics lecture?","Question",{"text":112,"@type":113},"The outline covers securities industry history and definitions, capital markets and debt vs. equity, major securities acts (1933 and 1934), mutual funds, options, and insurance products, then registration and regulation for firms and individuals.","Answer",{"name":115,"@type":110,"acceptedAnswer":116},"How is the course scheduled and how long is the final exam?",{"text":117,"@type":113},"It allocates 3 hours of lecture/content, includes a 15-minute break, and ends with a 45-minute final exam made up of 50 questions.",{"name":119,"@type":110,"acceptedAnswer":120},"Which registration and compliance systems and forms are emphasized?",{"text":121,"@type":113},"The plan highlights broker-dealer and investment adviser registrations (e.g., Form BD, ADV parts, and terminations like Form U5/U5-related items) and the WebCRD system for U4, plus continuing education and regulatory requirements.","https://schema.org",{"og:url":83,"og:type":124,"og:title":65,"og:site_name":95,"og:description":67},"article",{"robots":126,"canonical":83},"index,follow",{"doc_id":128,"site_id":62},390623,1790507626,{"code":4,"msg":5,"data":131},{"doc_id":128,"user_id":132,"nickname":92,"user_avatar":133,"doc_module":4,"category_id":19,"category_name":20,"doc_title":65,"doc_description":67,"doc_content":134,"file_id":135,"file_url":136,"file_type":137,"file_size":138,"view_count":52,"is_deleted":4,"is_public":8,"is_downloadable":8,"audit_status":8,"page_count":19,"language":139,"language_code":63,"site_id":62,"html_lang":63,"table_of_contents":140,"faqs":141,"seo_title":142,"seo_description":67,"update_tm":143,"read_time":52,"preview_page_count":4},1374404730887,"https://ap-avatar.wpscdn.com/davatar_6f874abed73319feea01a86fa6f0fab8","This outline provides for 3 hours of lecture/content, a 15 minute break, and a 45 minute final exam (50 questions)  \n8:00 – 8:15am Introduction  \nA. Welcome  \nB. History of the Securities Industry  \n• Basic definitions and Terms: SEC, SRO, NYSE, NASD, MSRB, FINRA, NASAA  \n8:15 – 9:30 am Overview of Regulation and Markets  \nA. Capital Market  \nB. Types of Securities – Debt vs. Equity  \n1. Types of Stock  \na. Common  \nb. Preferred  \n2. Types of Bonds  \na. Corporate  \nb. Government  \nc. Municipal  \nC. Securities Act of 1933  \n1. Issuing securities  \n2. The primary market  \nD. Securities Act of 1934  \n1. Registration of Broker-Dealer  \n2. Associated Person  \n3. The secondary market  \na. Exchanges  \nb. Over the Counter  \nE. Mutual Funds  \nF. Options  \nG. Insurance products  \n1. Variable Annuities  \n2. Variable life products  \n9:30 – 9:45 am Break  \n9:45-11:15 am Registration and Regulation  \nA. Firm  \n1. Broker – Dealer  \na. Form BD  \n2. Branch  \na. Form BR  \nB. Investment Adviser  \n1. ADV PART 1a 1b  \n2. ADV Part 2a 2b  \nC. Individual  \n1. Due Diligence  \n2. Brokercheck  \n3. NRF  \n4. Pre-hire/back ground check  \n5. Statutory Disqualifications  \nD. U4 – WebCRD System – Initial/Relicense/Amendments  \n1. AG – Sec  \n2. RA – Inv. Adv. Rep  \n3. Disclosure Questions & DRP’s  \n4. Outside Business Activities (OBA)  \n5. Residential History  \n6. Employment History  \n7. 3 year Employment Verification  \nE. FINRA Registration Types:  \n• Series 6  \n• Series 7  \n• Series 62  \n• Series 22  \n• Series82  \n• Series 79  \n• Series 57  \n• Series 86  \n• Series 87  \n• Series 99  \n• Series 26  \n• Series 24  \n• Series 4  \n• Series 9/10  \n• Series 27  \n• Series 28  \nF. MSRB Registration Types  \n▪ Series 52  \n▪ Series 50  \n▪ Series 51  \n▪ Series 53  \nG. NYSE Registration Types  \n• Series 14  \n• Series 16  \nH. NFA Registration Types  \n• Series 3  \n• Series 31  \nI. NASAA Registration Types  \n• Series 63  \n• Series 65  \n• Series 66  \nJ. Termination  \n1. Individual requirements – Form U5  \n2. Firm requirements (BD & IA)  \na. Broker Dealer – Form BDW  \nb. Investment Adviser – Form ADVW  \nK. Continuing Education  \n• Regulatory  \n• Firm  \n11:15 – 12:00pm Final Exam – 50 Questions","cbCaipfGcwN6fJqj","https://ap.wps.com/l/cbCaipfGcwN6fJqj","pdf",512058,"English","# Introduction\n## Welcome\n## History of the Securities Industry\n\n# Overview of Regulation and Markets\n## Capital Market\n## Types of Securities – Debt vs. Equity\n## Securities Act of 1933\n## Securities Act of 1934\n## Mutual Funds, Options, and Insurance Products\n\n# Registration and Regulation\n## Broker-Dealer (Firm)\n## Investment Adviser\n## Individual Requirements and Due Diligence\n## WebCRD (U4) System\n## FINRA, MSRB, NYSE, NFA, and NASAA Registration Types\n## Termination\n## Continuing Education\n\n# Final Exam\n## 50 Questions","[{\"question\":\"What are the main topics covered in the securities basics lecture?\",\"answer\":\"The outline covers securities industry history and definitions, capital markets and debt vs. equity, major securities acts (1933 and 1934), mutual funds, options, and insurance products, then registration and regulation for firms and individuals.\"},{\"question\":\"How is the course scheduled and how long is the final exam?\",\"answer\":\"It allocates 3 hours of lecture/content, includes a 15-minute break, and ends with a 45-minute final exam made up of 50 questions.\"},{\"question\":\"Which registration and compliance systems and forms are emphasized?\",\"answer\":\"The plan highlights broker-dealer and investment adviser registrations (e.g., Form BD, ADV parts, and terminations like Form U5/U5-related items) and the WebCRD system for U4, plus continuing education and regulatory requirements.\"}]","SILASecurities Basics Outline - 3-Hour Lecture, Break, and Final Exam | PDF",1790337074]