ON-Trac II Table of Contents IMPORTANT NOTICE (MN Producers Only): After July 1, 2010, CE will no longer be available to Minnesota producers for any Ohio National self-study units. Florida Producers: Click here for an important notice. Virginia Producers: Click here for important, required information. INTRODUCTION & NAVIGATION INSTRUCTIONS UNIT XII: SECURITIES & VARIABLE PRODUCTS (Start Here) Page 1 — SECTION I: INTRODUCTION Page 2 — Learning Objectves Page 4 — SECTION II: GETTING STARTED WITH SECURITIES Page 4 — Why Should an Agent Become Registered to Sell Securities? Page 5 — Why Should a Registered Representative Offer Investment Products? Page 6 — How Does a Registered Representative Decide Which Securities Registration Is Right for Him or Her? Page 7 — FINRA Series 6 Page 8 — FINRA Series 7 Page 10 — FINRA Series 65 Page 11 — FINRA Series 66 Page 13 — FINRA Series 63 Page 14 — What Is the Process for a Registered Representative to Get Securities Registered? Page 15 — Section II Action Assignment Page 16 — SECTION III: INVESTMENT PRINCIPLES Page 16 — Understanding Key Investment Principles Page 24 — Managing Return Expectations Page 25 — Managing Risk Expectations Page 29 — Section III Action Assignment Page 30 — SECTION IV: INVESTMENTS Page 30 — Why Do People Invest? Page 31 — Selecting the Right Product to Meet the Client's needs and wants Page 33 — What Are the Various Types of Investments? Page 34 — Individual Equities (Stocks) Page 35 — Advantages & Disadvantages of Individual Equities (Stocks) Page 36 — Selecting from Various Types of Individual Equities (Stocks) Page 37 — Pricing Page 37 — Performance Page 38 — Individual Bonds Page 39 — Advantages & Disadvantages of Individual Bonds Page 40 — Selecting from Various Types of Individual Bonds Page 41 — Pricing Page 42 — Performance Page 44 — Cash Equivalents Page 45 — Mutual Funds Page 46 — Advantages & Disadvantages of Mutual Funds Page 48 — Selecting from Various Types of Mutual Funds Page 57 — Morningstar's Fund Rating Service Page 59 — Variable Annuities Page 61 — Advantages/Disadvantages Page 62 — Pricing Page 63 — Performance Page 64 — Variable Universal Life Insurance Page 65 — Advantages/Disadvantages Page 66 — Pricing Page 66 — Performance Page 67 — Investment Benefits Page 72 — Retirement Vehicles Page 73 — Comprehensive Sales Support Page 74 — Section IV Action Assignment Page 75 — Section IV Action Assignment Answers Page 76 — Conclusion Page 77 — Certificates of Completion, CE Credits & CE Map Page 78 — Unit XII: Securities & Variable Products Exam Request * Student Evaluation ** Affidavit of Responsibility *** * When you complete the course, fill out and submit the exam request form at the end of the chapter. In response, you will receive a link to the final exam. Submit your answers and they will be scored. If you pass the exam with a score of at least 70 percent, you will have successfully passed the course. If you do not pass the review, you will be requested to take another exam. ** Applicable only to the State of Ohio. *** Applicable only to designated states. Check with your home state to see if the affidavit is required. If it is, be sure to fill it out correctly and send it in with your CE exam. This course is accessible online 24 hours a day, 7 days a week. It is approved for continuing education in the State of Ohio. Student information will not be sold or distributed to any third party without prior written consent of the student. Registering and/or taking the course shall not constitute consent. Back to Top | Next Ohio National is not affiliated with, nor does it endorse or sponsor, any particular prospecting, marketing or selling system.

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