Textbook
1. Introduction
2. Investment vehicle characteristics
3. Recommendations & strategies
4. Economic factors & business information
5. Laws & regulations
5.1 Securities laws
5.2 Definitions
5.2.1 Persons
5.2.2 Exempt & excluded
5.2.3 Issuers & securities
5.2.4 Broker-dealers
5.2.5 Agents
5.2.6 Investment advisers
5.2.7 Investment adviser representatives (IARs)
5.2.8 SEC & state administrator
5.2.9 Offers & sales
5.3 Registration
5.4 Enforcement
5.5 Communications
5.6 Ethics
6. Wrapping up
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5.2.8 SEC & state administrator