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brett mayne
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Decks in this class (27)
Series 7 chapter 1 pt 1
Finra is what type of organization,
General securities principles ser...,
Limited securities principles ser...
33
cards
Chapter 1 pt 2 series 7
Securities act of 1933 requires,
The following securities are exem...,
Blue sky laws require
62
cards
SIE chapter 1
Securities and exchange commissio...,
Although a broker dealer must reg...,
Finra
65
cards
SIE chapter 1 pt 2
Business cycle goes through ___st...,
Expansion,
Contracting
31
cards
Chapter 1 pt 3
The primary purpose of the securi...,
The securities act of 1933 requires,
Private securities offering occur...
40
cards
SIE chapter 2
Common stockholders have the righ...,
Proxy,
Preempt means
71
cards
She chapter 2 pt 2
Short term unsecured promissory n...,
Direct short term debt obligation...,
Though t notes and t bonds are is...
79
cards
sie chapter 2 pt 3
Facs and uits are managed or not ...,
Do facs and uits trade in the sec...,
Actively manages a securities por...
78
cards
sie chapter 2 important
Each share represents ___ ___ or __,
Common stockholders have the righ...,
Proxy
216
cards
Chapter 3 SIE
Market order,
Limit order,
For a buy limit order or better m...
189
cards
SIE chapter 4
National adjudicatory council,
Broker dealer registration,
Associated persons
41
cards
SIE TEST TOPIC
The following outlines the frbs b...,
Selling for frb,
During the cooling off period und...
120
cards
SIE need to work on
Restricted stock is registered or...,
Control stock is registered or un...,
Restricted stock held by a nonaff...
64
cards
Still working on SIE
0
cards
SIE FINAL review
Callable preferred,
Convertible preferred,
Adjustable rate preferred
69
cards
Series 7 Top off exam
Retail communication,
Finra is what type of organization,
General securities principals ser...
90
cards
Series 7 Chapter 2
Cash account,
Tod,
Inheritance
88
cards
series 7 chapter 2 round 2
Prime brokerage account,
To open a corporate account the f...,
Dividends paid from one corporati...
18
cards
Series 7 Chapter 3
Kyc,
Before making a recommendation fo...,
Customer balance sheet
443
cards
Series 7 B chapter 1
Customers not obligated to arbrit...,
Code of arbitration,
Code of procedure
423
cards
Series 7 need to work on
Letter of intent are good for if ...,
When calculating what investor re...,
When is the sales charge deducted...
35
cards
Formulas series 7
Dividend yield,
Current yield,
Number of shares conversion
13
cards
Series 7 need to work on bad
If more than 10 of a bonds procee...,
For both us treasury notes and gi...,
Calculate conversion price
246
cards
series 7 brian lee
Suitability chart,
Stabilizing bids must not be made,
Rule 5130 classifies a ristricted...
50
cards
chapter 8 series 7
Otc market is what type of market,
Specialist must refuse,
Stock prices in otc market determ...
9
cards
Weakness series 7 close
Nonqualified plans,
Trading halt,
Once payment and delivery instruc...
25
cards
test day
Components of income statement,
Cash flow from operations will on...,
Standard trading unit for equity ...
22
cards
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series 7
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