Description
This pack was created from the iOS Brainscape App
Decks in this Class (22):
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Chapter 1 Federal Securities Regulations
Chapter 1- Federal Securities Regulations-5 Questions
Sample Cards:securities act of 1933 paper act truth i,definitions begin 1 security 2 issuer 3,4 person 5 prospectus 6 sale77 CardsPreview Flashcards -
Chapter 2 Sections 1 6 State Regulation
Chapter 2 Sections 1-6- state Regulation under The uniform securities Act- 23 questions
Sample Cards:uniform securities act of 1956,north american securities administration,administrator54 CardsPreview Flashcards -
Chapter 2 Continued
Chapter 2 Continued
Sample Cards:three methods of registering in state,notice filing,registration by coordination43 CardsPreview Flashcards -
Chapter 3 17 Qs Federal And State Regula
Chapter 3 17 Qs Federal And State Regulation Of Investment Advisers And Their Reps
Sample Cards:investment advisers act of 1940,broker dealer,fiduciary person64 CardsPreview Flashcards -
Chapter 3 Part 2
Chapter 3 Part 2
Sample Cards:principal or agency transactions state a,advertising under the usa and sec,unlawful advertisements32 CardsPreview Flashcards -
Chapter 4 3qs Type And Characteristic Of
Chapter 4 (3Qs)- Type And Characteristic Of Equity Securities
Sample Cards:stockholders equities,preferred stock,common stock returns18 CardsPreview Flashcards -
Chapter 5 5qs Types And Characteristics
Chapter 5- 5Qs Types And Characteristics Of Fixed Income
Sample Cards:three major issuers of debt,treasury bills,us treasury notes26 CardsPreview Flashcards -
Chapter 6 1q Types And Characteristic Of
Chapter 6- 1Q Types And Characteristic Of Cash And Cash Equivalants
Sample Cards:money market,negotiable cds,commercial paper5 CardsPreview Flashcards -
Chapter 7 5qs Pooled Investments
Chapter 7- 5Qs Pooled Investments
Sample Cards:investment company types,nav,closed end investment company15 CardsPreview Flashcards -
Chapter 8 3qs Insurance Based Products
Chapter 8 3Qs insurance based products
Sample Cards:annuity,variable annuities,combination annuity16 CardsPreview Flashcards -
Chapter 9 1 Q Types And Characteristics
Chapter 9 (1 Q) Types and Characteristics of Derivative Securities
Sample Cards:opening an options account,options,american vs european style options7 CardsPreview Flashcards -
Chapter 10 1q Alternative Investments
Chapter 10 (1Q)- Alternative Investments
Sample Cards:hedge funds,direct participation programs,investment real estate lp5 CardsPreview Flashcards -
Chapter 11 1q Basic Economics
Chapter 11 (1Q) Basic Economics
Sample Cards:economics,business cycles,cyclical industries15 CardsPreview Flashcards -
Chapter 12 3qs Methods Of Quantitative A
Chapter 12- (3Qs) Methods of Quantitative Analysis
Sample Cards:time value of money,future value,present value15 CardsPreview Flashcards -
Chapter 17 2qs Tax Considerations
Chapter 17- (2Qs) Tax Considerations
Sample Cards:regressive vs progressive taxes,alimony,child support33 CardsPreview Flashcards -
Chapter 18 2qs Trading Securities
Chapter 18- (2Qs) Trading Securities
Sample Cards:cash accounts,margin accounts,margin call15 CardsPreview Flashcards -
Chapter 19 3qs Performance Measures
Chapter 19- (3Qs) Performance Measures
Sample Cards:current yirled vs yield to maturity,total return,holding period return18 CardsPreview Flashcards -
Chapter 20 5qs Retirement Plans And Educ
Chapter 20- (5Qs) Retirement Plans And Educational Funding
Sample Cards:individual retirement arrangement iras,simplified employee pensions sep,withdrawals from traditional iras and se33 CardsPreview Flashcards -
Chapter 13 1q Types Of Investment Risk
Chapter 13- (1Q) Types of Investment Risk
Sample Cards:systematic risk,market risk,interest rate risk17 CardsPreview Flashcards -
Chapter 14 5q Type Of Client
Chapter 14- (5Q) Type of Client
Sample Cards:new account agreements,individual accounts,joint accounts rules18 CardsPreview Flashcards -
Chapter 15 6qs Client Profile
Chapter 15- (6Qs) Client Profile
Sample Cards:financial profile,3 factors to consider for investment str,preservation of capital10 CardsPreview Flashcards -
Chapter 16 7qs Portfolio Management Styl
Chapter 16- (7Qs) Portfolio Management Styles, Strategies and Techniques
Sample Cards:asset allocation,strategic asset allocation,constant dollar18 CardsPreview Flashcards
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