Series 66
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Introduction
1. Investment vehicle characteristics
2. Recommendations & strategies
2.1 Type of client
2.2 Client profile
2.3 Strategies, styles, & techniques
2.4 Capital market theory
2.5 Efficient market hypothesis (EMH)
2.6 Tax considerations
2.7 Retirement plans
2.8 Brokerage account types
2.9 Special accounts
2.10 Trading securities
2.10.1 Bids & offers
2.10.2 NASDAQ
2.10.3 Short sales
2.10.4 Order types
2.10.5 Cash & margin accounts
2.10.6 Minimum maintenance
2.10.7 Agency vs. principal
2.10.8 Roles in the industry
2.11 Performance measures
3. Economic factors & business information
4. Laws & regulations
Wrapping up
2.10.4 Order types
