Find Flashcards
Why It Works
More
Educators
Businesses
Academy
About

Brainscape's Knowledge Genome^TM

Browse over 1 million classes created by top students, professors, publishers, and experts.

Entrance Exams
Professional Certifications
Foreign Languages
Medical & Nursing
Science
English
Humanities & Social Studies
Mathematics
Law
Vocations
Health & Fitness
Business & Finance
Technology & Engineering
Food & Beverage
Fine Arts
Random Knowledge

See full index

Securities Industry Essentials® (SIE®) - Sandbox > 2.2 Investment Risks > Flashcards

2.2 Investment Risks Flashcards

Securities Industry Essentials® (SIE®) - Sandbox (34 decks)

1.1.1 The Securities and Exchange Commission (SEC)

1.1.2 Self-regulatory Organizations (SROs)

1.1.3 Other Regulators and Agencies

1.1.4 Market Participants and their Roles

1.2.1 Types Of Markets

1.3.1 The Federal Reserve Board’s Impact on Business Activity and Market Stability

1.3.2 Business Economic Factors

1.3.3 International Economic Factors

2.1.1 Equity Securities

2.1.2 Debt Instruments

2.1.4 Packaged Products

2.1.5 Municipal Fund Securities

2.1.6 Direct Participation Programs (DPPs)

2.1.7 Real Estate Investment Trusts (REITs)

2.1.8 Hedge Funds

2.1.9 Exchange-traded Products (ETPs)

2.2 Investment Risks

3.1.1 Orders and Strategies

3.1.2 Investment Returns

3.1.3 Trade Settlement

3.1.4 Corporate Actions

3.2.1 Account Types and Characteristics

3.2.2 Customer Account Registrations

3.2.3 Anti-money Laundering (AML)

3.2.4 Books and Records and Privacy Requirements

3.2.5 Communications with the Public and General Best Interest Obligations and Suitability Requirements

3.3.1 Market Manipulation

3.3.2 Insider Trading

3.3.3 Other Prohibited Activities

4.1.1 Registration and Continuing Education

4.2.1 Employee Conduct

4.2.2 Reportable Events

Key Links
Subjects
Company
- About Us
- Earn Money!
- Academy
- Swag Shop
- Contact
- Terms
- Podcasts
Find Us

Brainscape helps you reach your goals faster, through stronger study habits.
© 2024 Bold Learning Solutions. Terms and Conditions