This class was created by Brainscape user Jon Oliver. Visit their profile to learn more about the creator.
By:
Jon Oliver
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Decks in this class (23)
Unit 1: Types and Characteristics of Equity Securities
Preferred stock,
Nonqualified stock options,
Incentive stock options
6
cards
Unit 2: Types and Characteristics of Fixed Income Securities
S p investment grade,
Moody investment grade,
Investment grade liquidity
29
cards
Unit 3: Pooled Investments
Open ended ic cannot,
Closed end fund,
Loi breakpoint
16
cards
Unit 4: Types and Characteristics of Derivatives
Buying a straddle likes,
Selling a straddle likes,
Preemptive rights
12
cards
Unit 5: Alternative Investments and Other Assets
Limited partnership,
General partner,
Limited partner
11
cards
Unit 6: Basic Economic Concepts
Business cycle,
Expansion,
Peaks
26
cards
Unit 7: Financial Reporting
Balance sheet,
Owners equity,
Current liabilities
26
cards
Unit 8: Regulation of Securities and Their Issuers
Uniform securities act 1956,
Administrator,
Security
22
cards
Unit 9: Regulation of Investment Advisers Including State-Registered and Federal Covered Advisers
Person,
Investment advisor,
Giving advice
35
cards
Unit 10: Regulation of Investment Adviser Representatives
Investment advisor representative,
Excluded from iar definition,
Exempt from iar definition
10
cards
Unit 11: Regulation of Broker-Dealers and Their Agents
Broker dealer,
Excluded from definition of broke...,
B d doesn t need state registrati...
23
cards
Unit 12: Remedies and Administrative Provisions
Administrator jurisdiction,
Administrator can,
Offer to sell
20
cards
Unit 13: Communications with Customers and Prospects
Acting as principal agency,
If ia is acting as principal,
Ia effecting transaction between ...
28
cards
Unit 14: Ethical Practices and Obligations
Fiduciary responsibility,
Hedge exculpatory clause,
Upia
64
cards
Unit 15: Tax Considerations
Marginal tax rate,
Two factors determining tax bill,
Examples of regressive tax
19
cards
Unit 16: Types of Clients
Individual account,
Investment policy statement ips,
Joint account
46
cards
Unit 17: Client Profile
Financial profile,
Nonfinancial considerations,
Risk tolerance
19
cards
Unit 18: Retirement Plans Including ERISA Issues and Educational Funding Programs
Compensation for ira purposes,
Not considered compensation for i...,
Economic growth and tax relief re...
74
cards
Unit 19: Types of Investment Risks
Systemic risk,
Market risk,
Beta
18
cards
Unit 20: Analytical Methods
Time value of money,
Present value,
The discount factor
39
cards
Unit 21: Portfolio Management Styles, Strategies, and Techniques
Stocks asset class,
Bonds asset class,
Cash asset class
38
cards
Unit 22: Performance Measures
Total return,
Mutual fund returns,
Holding period return
25
cards
Unit 23: Trading Securities
Cash account,
Margin account,
Marginable securities
4
cards
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series 65
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