This class was created by Brainscape user Tyler Davis. Visit their profile to learn more about the creator.
By:
Tyler Davis
- decks
- flashcards
- learners
Decks in this class (25)
Equity Securities
Jenna is a young investor who has...,
All of the following are correct ...,
Which of the following can author...
60
cards
Debt Securities
The effect of steadily declining ...,
A customer holds a corporate bond...,
An open end mortgage bond issued ...
60
cards
Equity Options
When referring to call options th...,
An investor is considered covered...,
Which of the following are true o...
80
cards
Investment Companies
One of your customers is consider...,
A client is currently looking for...,
A mutual fund s net asset value h...
60
cards
Investment Banking
Once a registration statement has...,
A prospectus states shares offere...,
A corporation intends to offer a ...
24
cards
Federal Regulations
Which of the following is false a...,
The sec directly regulates all of...,
Which of the following are requir...
40
cards
Securities Markets
An investor sold short 100 shares...,
Ch7 sec,
Ch7 sec
60
cards
Customer Accounts
Ch8 sec,
Ch8 sec,
Ch8 sec
66
cards
Cash and Margin Accounts
Ch9 sec,
Ch9 sec,
Ch9 sec
46
cards
Self-Regulatory Organizations
Ch10 sec,
Ch10 sec,
Ch10 sec
30
cards
Basics of Life Ins. and Variable Annuities
0
cards
Retirement Plans and Education Savings Plans
0
cards
Federal Government Securities
Ch13 sec,
Ch13 sec,
Ch13 sec
25
cards
Municipal Bond Basics
0
cards
Municipal Bond Taxation, Underwriting, and Secondary Market
0
cards
Municipal Bond Rules and Regulations
Ch16 sec2,
Ch16 sec2,
Ch16 sec2
15
cards
Taxes
0
cards
Direct Participation Programs
0
cards
Securities Analysis
0
cards
Investment Recommendations and Strategies
Ch20 sec1,
Ch20 sec1,
Ch20 sec1
29
cards
Final 1
All of the following statements a...,
One of your clients wants to free...,
A customer puts in an immediate o...
134
cards
Final 2
One of your clients is a recently...,
All of the following statements r...,
If a licensed registered represen...
135
cards
Final 3
0
cards
Final 4
0
cards
Problem Children
0
cards
More about
series 7
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Tyler Davis's Series 7 flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Series 7 Top-off Exam
- 8 decks
- 1,521 flashcards
- 21,145 learners
Decks:
Communications With The Public New Issue, Customer Accounts Retirement Plans, Securities Products Suitability, And more!
Series 7
- 20 decks
- 1251 flashcards
- 2 learners
Decks:
Terms, Chapter 1 Equity Securities, Chapter 2 Debt Securities, And more!
Series 7
- 34 decks
- 1212 flashcards
- 30 learners
Decks:
Customer Accounts, Margin Rules, Long Margin Accounts, And more!
