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
5.3 Registration
5.3.1 Broker-dealers
5.3.2 Agents
5.3.3 Investment advisers
5.3.4 Investment adviser representatives
5.3.5 Securities
5.4 Enforcement
5.5 Communications
5.6 Ethics
6. Wrapping up
5.3.5 Securities