Series 7 Flashcards

Decks in this Class (26):

• Series 7 Chapter 1 Pt 1

  Series 7 chapter 1 pt 1

  Sample Cards:

  finra is what type of organization,

  general securities principles series ...,

  limited securities principles series ...
  33 Cards
  Preview Flashcards
• Chapter 1 Pt 2 Series 7

  Chapter 1 pt 2 series 7

  Sample Cards:

  securities act of 1933 requires,

  the following securities are exempt from,

  blue sky laws require
  62 Cards
  Preview Flashcards
• Sie Chapter 1

  SIE chapter 1

  Sample Cards:

  securities and exchange commission sec,

  although a broker dealer must registe...,

  finra
  65 Cards
  Preview Flashcards
• Sie Chapter 1 Pt 2

  SIE chapter 1 pt 2

  Sample Cards:

  business cycle goes through ___stages...,

  expansion,

  contracting
  31 Cards
  Preview Flashcards
• Chapter 1 Pt 3

  Chapter 1 pt 3

  Sample Cards:

  the primary purpose of the securities...,

  the securities act of 1933 requires,

  private securities offering occurs when
  40 Cards
  Preview Flashcards
• Sie Chapter 2

  SIE chapter 2

  Sample Cards:

  common stockholders have the right to,

  proxy,

  preempt means
  71 Cards
  Preview Flashcards
• She Chapter 2 Pt 2

  She chapter 2 pt 2

  Sample Cards:

  short term unsecured promissory notes...,

  direct short term debt obligations of...,

  though t notes and t bonds are issued...
  79 Cards
  Preview Flashcards
• Sie Chapter 2 Pt 3

  sie chapter 2 pt 3

  Sample Cards:

  facs and uits are managed or not managed,

  do facs and uits trade in the seconda...,

  actively manages a securities portfol...
  78 Cards
  Preview Flashcards
• Sie Chapter 2 Important

  sie chapter 2 important

  Sample Cards:

  each share represents ___ ___ or __,

  common stockholders have the right to,

  proxy
  216 Cards
  Preview Flashcards
• Chapter 3 Sie

  Chapter 3 SIE

  Sample Cards:

  market order,

  limit order,

  for a buy limit order or better means at
  189 Cards
  Preview Flashcards
• Sie Chapter 4

  SIE chapter 4

  Sample Cards:

  national adjudicatory council,

  broker dealer registration,

  associated persons
  41 Cards
  Preview Flashcards
• Sie Test Topic

  SIE TEST TOPIC

  Sample Cards:

  the following outlines the frbs buying,

  selling for frb,

  during the cooling off period underwr...
  120 Cards
  Preview Flashcards
• Sie Need To Work On

  SIE need to work on

  Sample Cards:

  restricted stock is registered or unr...,

  control stock is registered or unregi...,

  restricted stock held by a nonaffiliate
  64 Cards
  Preview Flashcards
• Still Working On Sie

  Still working on SIE
  0 Cards
  Preview Flashcards
• Sie Final Review

  SIE FINAL review

  Sample Cards:

  callable preferred,

  convertible preferred,

  adjustable rate preferred
  69 Cards
  Preview Flashcards
• Series 7 Top Off Exam

  Series 7 Top off exam

  Sample Cards:

  retail communication,

  finra is what type of organization,

  general securities principals series ...
  90 Cards
  Preview Flashcards
• Series 7 Chapter 2

  Series 7 Chapter 2

  Sample Cards:

  cash account,

  tod,

  inheritance
  88 Cards
  Preview Flashcards
• Series 7 Chapter 2 Round 2

  series 7 chapter 2 round 2

  Sample Cards:

  prime brokerage account,

  to open a corporate account the follo...,

  dividends paid from one corporation t...
  18 Cards
  Preview Flashcards
• Series 7 Chapter 3

  Series 7 Chapter 3

  Sample Cards:

  kyc,

  before making a recommendation for a new,

  customer balance sheet
  443 Cards
  Preview Flashcards
• Series 7 B Chapter 1

  Series 7 B chapter 1

  Sample Cards:

  customers not obligated to arbritate ...,

  code of arbitration,

  code of procedure
  423 Cards
  Preview Flashcards
• Series 7 Need To Work On

  Series 7 need to work on

  Sample Cards:

  letter of intent are good for if the ...,

  when calculating what investor receiv...,

  when is the sales charge deducted fro...
  35 Cards
  Preview Flashcards
• Formulas Series 7

  Formulas series 7

  Sample Cards:

  dividend yield,

  current yield,

  number of shares conversion
  13 Cards
  Preview Flashcards
• Series 7 Need To Work On Bad

  Series 7 need to work on bad

  Sample Cards:

  if more than 10 of a bonds proceeds g...,

  for both us treasury notes and ginnie...,

  calculate conversion price
  246 Cards
  Preview Flashcards
• Series 7 Brian Lee

  series 7 brian lee

  Sample Cards:

  suitability chart,

  stabilizing bids must not be made,

  rule 5130 classifies a ristricted person
  50 Cards
  Preview Flashcards
• Chapter 8 Series 7

  chapter 8 series 7

  Sample Cards:

  otc market is what type of market,

  specialist must refuse,

  stock prices in otc market determined by
  9 Cards
  Preview Flashcards
• Weakness Series 7 Close

  Weakness series 7 close

  Sample Cards:

  nonqualified plans,

  trading halt
  2 Cards
  Preview Flashcards