Series 66 Self Study Flashcards

Decks in this Class (22):

• 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 sale
  77 Cards
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• 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,

  administrator
  54 Cards
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• Chapter 2 Continued

  Chapter 2 Continued

  Sample Cards:

  three methods of registering in state,

  notice filing,

  registration by coordination
  43 Cards
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• 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 person
  64 Cards
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• Chapter 3 Part 2

  Chapter 3 Part 2

  Sample Cards:

  principal or agency transactions state a,

  advertising under the usa and sec,

  unlawful advertisements
  32 Cards
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• Chapter 4 3qs Type And Characteristic Of

  Chapter 4 (3Qs)- Type And Characteristic Of Equity Securities

  Sample Cards:

  stockholders equities,

  preferred stock,

  common stock returns
  18 Cards
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• 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 notes
  26 Cards
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• 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 paper
  5 Cards
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• Chapter 7 5qs Pooled Investments

  Chapter 7- 5Qs Pooled Investments

  Sample Cards:

  investment company types,

  nav,

  closed end investment company
  15 Cards
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• Chapter 8 3qs Insurance Based Products

  Chapter 8 3Qs insurance based products

  Sample Cards:

  annuity,

  variable annuities,

  combination annuity
  16 Cards
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• 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 options
  7 Cards
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• Chapter 10 1q Alternative Investments

  Chapter 10 (1Q)- Alternative Investments

  Sample Cards:

  hedge funds,

  direct participation programs,

  investment real estate lp
  5 Cards
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• Chapter 11 1q Basic Economics

  Chapter 11 (1Q) Basic Economics

  Sample Cards:

  economics,

  business cycles,

  cyclical industries
  15 Cards
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• Chapter 12 3qs Methods Of Quantitative A

  Chapter 12- (3Qs) Methods of Quantitative Analysis

  Sample Cards:

  time value of money,

  future value,

  present value
  15 Cards
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• Chapter 17 2qs Tax Considerations

  Chapter 17- (2Qs) Tax Considerations

  Sample Cards:

  regressive vs progressive taxes,

  alimony,

  child support
  33 Cards
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• Chapter 18 2qs Trading Securities

  Chapter 18- (2Qs) Trading Securities

  Sample Cards:

  cash accounts,

  margin accounts,

  margin call
  15 Cards
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• Chapter 19 3qs Performance Measures

  Chapter 19- (3Qs) Performance Measures

  Sample Cards:

  current yirled vs yield to maturity,

  total return,

  holding period return
  18 Cards
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• 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 se
  33 Cards
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• Chapter 13 1q Types Of Investment Risk

  Chapter 13- (1Q) Types of Investment Risk

  Sample Cards:

  systematic risk,

  market risk,

  interest rate risk
  17 Cards
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• Chapter 14 5q Type Of Client

  Chapter 14- (5Q) Type of Client

  Sample Cards:

  new account agreements,

  individual accounts,

  joint accounts rules
  18 Cards
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• Chapter 15 6qs Client Profile

  Chapter 15- (6Qs) Client Profile

  Sample Cards:

  financial profile,

  3 factors to consider for investment str,

  preservation of capital
  10 Cards
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• Chapter 16 7qs Portfolio Management Styl

  Chapter 16- (7Qs) Portfolio Management Styles, Strategies and Techniques

  Sample Cards:

  asset allocation,

  strategic asset allocation,

  constant dollar
  18 Cards
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