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Registering With The Form ADV > Lists Of Securities - Chapter 2 > Flashcards

Lists Of Securities - Chapter 2 Flashcards

To Know Which Ones Are Securities & Which Ones Are NOT Securities

1
Q

Note

A

Security

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2
Q

An Insurance Policy

A

Not A Security

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3
Q

Stock

A

Security

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4
Q

Endowment Policy

A

Not A Security

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5
Q

Treasury Stock

A

Security

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6
Q

Annuity Contract

A

Not A Security

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7
Q

Bond

A

Security

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8
Q

Annuity Contract Under Which An Insurance Company Promises To Pay A Fixed Sum Of Money Either In A Lump Sum Or Periodically ( Basically, Any Product From A Life Insurance Company That Does Not Use The Word Variable)

A

Not A Security

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9
Q

Debenture

A

Security

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10
Q

Any Product From A Life Insurance Company That Does Not Use The Word Variable

A

Not A Security

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11
Q

Interest In A Retirement Plan

A

Not A Security

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12
Q

IRA

A

Not A Security

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13
Q

Keogh Plan

A

Not A Security

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14
Q

Interest In A Retirement Plan (Such As An IRA Or Keogh Plan)

A

Not A Security

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15
Q

Collectibles

A

Not A Security

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16
Q

Commodities

A

Not A Security

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17
Q

Precious Metals

A

Not A Security

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18
Q

Grains

A

Not A Security

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19
Q

Future Contracts For Commodities

A

Not A Security

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20
Q

Commodities Such As Precious Metals And Grains Or Futures Contracts For Commodities

A

Not A Security

21
Q

Condominiums Used As Personal Residences

A

Not A Security

22
Q

Currency

A

Not A Security

23
Q

Evidence Of Indebtedness

A

Security

24
Q

Certificate Of Interest

A

Security

25
Q

Participation In A Profit-Sharing Agreement

A

Security

26
Q

Collateral Trust Certificate

A

Security

27
Q

Preorganization Certificate

A

Security

28
Q

Subscription

A

Security

29
Q

Preorganization Certificate Or Subscription

A

Security

30
Q

Transferable Share

A

Security

31
Q

Investment Contract

A

Security

32
Q

Voting Trust Certificate

A

Security

33
Q

Certificate Of Deposit For A Security (ADRs Not A Bank CD)

A

Security

34
Q

Certificate Of Interest

A

Security

35
Q

Participation In An Oil

A

Security

36
Q

Gas

A

Security

37
Q

Mining Title

A

Security

38
Q

Mining Title Or Lease

A

Security

39
Q

Puts

A

Security

40
Q

Lease In Payments Out Of Production Under Such A Title Or Lease

A

Security

41
Q

Calls

A

Security

42
Q

Straddles

A

Security

43
Q

Options

A

Security

44
Q

Privileges On A Security

A

Security

45
Q

Puts, Calls, Straddles, Options, Or Privileges On A Security

A

Security

46
Q

Certificate of Interest Or Participation In An Oil, Gas, Or Mining Title Or Lease, Or Payments Out Of Production Under Such A Title Or Lease

A

Security

47
Q

Certificate Of Interest Or Participation In A Profit-Sharing Agreement

A

Security

48
Q

Preorganization Certificate Or Subscription

A

Security

Registering With The Form ADV (2 decks)

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