This class was created by Brainscape user David L. Giles. Visit their profile to learn more about the creator.
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David L. Giles
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Decks in this class (39)
Domain 1: Economic Factors & Business Information (15%)
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1.A Basic Economic Concepts
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1.B Financial Reporting
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1.C Analytical Methods
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10
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1.D Types of Risks
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Domain 2: Investment Vehicle Characteristics (25%)
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2.A Types and Characteristics of Cash and Cash Equivalents
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10
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2.B Types of Fixed Income Securities
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2.C Characteristics and Valuation Factors of Fixed Income Securities
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2.D Types of Equity Securities
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2.E Characteristics of Equity Securities
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2.F Methods Used to Determine the Value of Equity Securities
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2.G Characteristics of Pooled Investments
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2.H Types of Derivative Securities
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2.I Characteristics of Derivative Securities
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2.J Alternative Investments
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2.K Insurance Based Products
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2.L Other Assets
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Domain 3: Client Investment Recommendations & Strategies (30%)
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3.A Type of Client
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3.B Client Profile
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3.C Capital Market Theory
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3.D Portfolio Management Strategies, Styles and Techniques
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3.E Tax Considerations
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3.F Retirement Plans
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3.G Employee Retirement Income Security Act (ERISA) Issues
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3.H Special Types of Accounts
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3.I Ownership and Estate Planning Techniques
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3.J Trading Securities
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3.K Portfolio Performance Measures
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Domain 4: Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices (30%)
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4.A Regulation of Investment Advisers, Including State-Registered Advisers and Federal Covered Advisers
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4.B Regulation of Investment Adviser Representatives
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4.C Regulation of Broker-Dealers
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4.D Regulation of Broker-Dealer Agents
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4.E Regulation of Securities and Issuers
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4.F Remedies and Administrative Provisions
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4.G Communication with Clients and Prospects
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4.H Ethical Practices and Fiduciary Obligations
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series 65
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