Description
This pack was created from the iOS Brainscape App
Decks in this Class (59):
-
1st Set
1st set
Sample Cards:can a corporation with no income pay div,when referring to bonds if you see 73s o,is interest on corporate bonds fully tax104 CardsPreview Flashcards -
Acronyms
Acronyms
Sample Cards:epic1 CardsPreview Flashcards -
2nd Set
2nd set
Sample Cards:formula for eps,do firms have to file their aml program,catastrophe call provision73 CardsPreview Flashcards -
3rd Set
3rd Set
Sample Cards:if assigned on a covered call what is tr,if you get assigned on a covered call is,how much total capital losses can you de115 CardsPreview Flashcards -
4th Set
4th Set
Sample Cards:fill or kill fok means order must be exe,if your short stock that is currently tr,can sma be used or withdrawn if account9 CardsPreview Flashcards -
5th Set
5th Set
Sample Cards:3 different forms dividends can be paid,t f bonds issued by us territories ie vi,t f for an investor one of the major adv37 CardsPreview Flashcards -
6th Set
6th Set
Sample Cards:does the tac targeted amortization class,when an officer or director acquires con,a client has purchased a nonqualified va27 CardsPreview Flashcards -
7th Set
7th Set
Sample Cards:are negotiable cds considered money mark,listed options on us exchanges are avail,under rule 144 an affiliate holding rest38 CardsPreview Flashcards -
8th Set
8th Set
Sample Cards:klp common stock has been trading at or,t f last sale information is always avai,are listed warrants usually marginable34 CardsPreview Flashcards -
9th Set
9th Set
Sample Cards:last week one of your customers placed a,t f calendar spreads or time spreads are,t f defeasance occurs when an outstandin61 CardsPreview Flashcards -
10th Set
10th Set
Sample Cards:t f tatical asset allocation attempts tp,t f tactical asset allocation is a marke,t f partial execution is allowed in an a5 CardsPreview Flashcards -
11th Set
11th Set
0 CardsPreview Flashcards -
12th Set
12th Set
0 CardsPreview Flashcards -
Days To Know
Days to Know
Sample Cards:what is same business day 1,what is 1 business day 2,what is 2 business days 111 CardsPreview Flashcards -
Percentages
Percentages
Sample Cards:what is 025 1,what is 1 3,what is 5 215 CardsPreview Flashcards -
Times Dates
Times/Dates
Sample Cards:how long must customer statements be kep1 CardsPreview Flashcards -
Settlement
Settlement
Sample Cards:when do muni bonds settle,when do corporate bonds settle,t f t notes settle next day while ginnie3 CardsPreview Flashcards -
New Rules And Regulations
New: Rules and Regulations
Sample Cards:addresses reclassifications mergers or c,reegukation a is an exemption from regis,would filing an upldated prospectus be a32 CardsPreview Flashcards -
New Taxes
New: Taxes
Sample Cards:interest on direct debt issued by the us,are excise taxes condsidered a progressi,what are excise taxes13 CardsPreview Flashcards -
New Financial Statements
New: Financial Statements
Sample Cards:what does ebit stand for,on what financial statement can earnings,if a company issues debentures at par va10 CardsPreview Flashcards -
New Fundamental Analysis Formulas
New: Fundamental Analysis Formulas
Sample Cards:formula for net worth,formula for book value,formula for book value per share14 CardsPreview Flashcards -
New Settlement
New: Settlement
Sample Cards:regular way settlement corporate and mun,regular way settlement government,settlement cash8 CardsPreview Flashcards -
New Brokerage Things
New: Brokerage Things
Sample Cards:order tickets must be approved by a ____,changes to order ticked must be approved2 CardsPreview Flashcards -
New Equity Accounts
New: Equity Accounts
Sample Cards:minimum maintenance in short margin acco,a bd can rehypothicate up to __ of the d,t f reg t applies to both cash and margi31 CardsPreview Flashcards -
New Equities
New: Equities
Sample Cards:do holders of preferred stock ever recei,a representative enters a customer s imm,will an immediate or cancel ioc order ta8 CardsPreview Flashcards -
New Other Accounts Trading
New: Other Accounts/Trading
Sample Cards:t f the confirmation of a bond trade mus,time frame for a wash sale2 CardsPreview Flashcards -
New Packaged Products
New: Packaged Products
Sample Cards:how much of a mutual funds net investmen,client purchased a variable life insuran2 CardsPreview Flashcards -
New Retirement Plans
New: Retirement Plans
Sample Cards:are qualified plans set up with a truste,do non qualified retirement plans have t,are contributions to qualified retiremen14 CardsPreview Flashcards -
New Dpps
New: DPPs
Sample Cards:t f dpps report to the irs and are taxed,are expenses deductible in a dpp,is interest in a dpp usually considered17 CardsPreview Flashcards -
New Annuities
New: Annuities
Sample Cards:how are variable annuities priced,is there a maximum sales charge for vari,what happens to earnings dividends and c23 CardsPreview Flashcards -
New Munis
New: Munis
Sample Cards:for an investor in the 37 federal income,is the bond contract or bond resolution,t f the bond contract contains the bond47 CardsPreview Flashcards -
New Muni Documents
New: Muni Documents
Sample Cards:if you wanted to find out weather a reve,what document would show the authority t,in a new muni issue the issuer usually p3 CardsPreview Flashcards -
New Muni Taxes
New: Muni Taxes
Sample Cards:taxes on interest from munis federal lev,taxes on muni interest state level out o,taxes on muni interest state level in st8 CardsPreview Flashcards -
New Muni Indices And Ratios
New: Muni Indices and Ratios
Sample Cards:go index,revdex bond index,30 day visible supply bonds4 CardsPreview Flashcards -
New Debt
New: Debt
Sample Cards:what is a mortgage bond backed by,what is a collateral trust bond backed b,what is an equipment trust certificate b31 CardsPreview Flashcards -
New Test Improve
New: Test Improve
Sample Cards:customer wants to open new account but r,when an officer or director acquires con,a client has purchased a nonqualified va28 CardsPreview Flashcards -
New Test Questions
New: Test Questions
Sample Cards:the financial statements of the acme man,on january 18 your customer sold 500 sha,your customer wants to know what portion10 CardsPreview Flashcards -
Unit 1 Types Of Accounts 221
Unit 1: Types of Accounts (221)
Sample Cards:would a bank employee who only sells fix,would a muni bond be a good investment f,define specified adult153 CardsPreview Flashcards -
Unit 1 Types Of Accounts 221
Unit 1: Types of Accounts (221)
Sample Cards:are covered calls allowed in an ira,do c corps get double taxed,do llcs get double taxed83 CardsPreview Flashcards -
Unit 2 Suitability Info And Approvals 77
Unit 2: Suitability Info and Approvals (77)
Sample Cards:3 obligations under rule 2111 when recco,would liquidity be considered an investm,is time horizon an investment constraint8 CardsPreview Flashcards -
Unit 3 Equity Securities 197
Unit 3: Equity Securities (197)
Sample Cards:does the par value increase decrease on,are mutual funds subject to the 5 markup,t f excess capital losses can be carried52 CardsPreview Flashcards -
Unit 4 Debt Securities 107
Unit 4: Debt Securities (107)
Sample Cards:what is the coupon rate of this bond flb,is commercial paper secured or unsecured,commericial paper has maturity less than39 CardsPreview Flashcards -
Unit 5 Corporate Bonds 64
Unit 5: Corporate Bonds (64)
Sample Cards:a bond convertible at 50 can be converte,a bond convertible at 50 is selling at 1,t f convertible bonds if the stock is se9 CardsPreview Flashcards -
Unit 6 Muni Bonds 345
Unit 6: Muni Bonds (345)
Sample Cards:t f someone who buys a muni bond at a pr,formula to find yearly amortization on a,settlement for gov securities59 CardsPreview Flashcards -
Unit 7 Treasury And Gov Securities 85
Unit 7: Treasury and Gov securities (85)
Sample Cards:farm credit system fcs,3 securities the farm credit system fcs,does the federal home loan mortgage corp33 CardsPreview Flashcards -
Unit 8 Investment Companies 269
Unit 8: Investment Companies (269)
Sample Cards:t f the practice of selling dividends is,does a closed end fund redeem shares,t f class b shares can offer breakpoints95 CardsPreview Flashcards -
Unit 9 Insurance Company Products 72
Unit 9: Insurance Company Products (72)
Sample Cards:if you have a qualified single premium d,variable annuities can the number of acc,t f when a variable annuity contract is33 CardsPreview Flashcards -
Unit 10 Options 456
Unit 10: Options (456)
Sample Cards:t f normally purchasing a put option on,t f a married put has a special tax bene,t f a married put is a specific type of15 CardsPreview Flashcards -
Unit 11 Other Packaged Products 138
Unit 11: Other Packaged Products (138)
Sample Cards:do lps require a subscription agreement,do reits provide passive income,do cmos provide passive income16 CardsPreview Flashcards -
Unit 12 Other Securities Products 61
Unit 12: Other Securities Products (61)
Sample Cards:t f each tranche in a cmo will have a di,t f tranches are groups of mortgages in,t f investors in a cmo dont own the cmo5 CardsPreview Flashcards -
Unit 13 Portfolio Account Analysis 219
Unit 13: Portfolio/Account Analysis (219)
Sample Cards:t f with a progressive tax such as incom,t f with a progressive tax such as incom,t f sales and cigarette taxes are regres8 CardsPreview Flashcards -
Unit 14 Types Of Risk And Disclosures 79
Unit 14: Types of Risk and Disclosures (79)
Sample Cards:the risk that is associated with changes,name for type of risk of the political c,what is sovereign risk30 CardsPreview Flashcards -
Unit 15 Handling Customer Accounts 92
Unit 15: Handling Customer Accounts (92)
Sample Cards:is there any specific schedule for when,if a carrying member recieves account tr,what does acats stand for14 CardsPreview Flashcards -
Unit 16 Orders And Quotation 250
Unit 16: Orders and Quotation (250)
Sample Cards:if a customer is long 650 shares of def,primary reason companies give stock divi,what is a subject quote3 CardsPreview Flashcards -
Unit 17 Processing Transactions 86
Unit 17: Processing Transactions (86)
Sample Cards:t f,t f broker dealers use a due bill when t,t f a dk dont know notice is used when a4 CardsPreview Flashcards -
Unit 18 Complaint Resolution 46
Unit 18: Complaint Resolution (46)
Sample Cards:disputes between anyone in the industry,disputes between anyone in the industry,statutory discrimination claims12 CardsPreview Flashcards -
Unit 19 Communications With The Public 5
Unit 19: Communications with the public (51)
Sample Cards:does retail communication posted on an i,does correspondence need to be filed wit,does retail communication posted online11 CardsPreview Flashcards -
Unit 20 New Issues Market 255
Unit 20: New Issues Market (255)
Sample Cards:can a rr send sales literature about a v,t f when recomending variable annuities,t f you may solicit transactions during38 CardsPreview Flashcards -
Mark Ce
Mark CE
Sample Cards:two parts of books and records requireme1 CardsPreview Flashcards
Popular Related Classes Brainscape Certified - ( See All )
SIE Exam
14 Decks -
1,499 Cards -
7,805 Learners
Decks: Equity Securities, Debt Securities, Types Of Bonds, And more!
Series 7 Rep Level
14 Decks -
4465 Cards -
1 Learners
Decks: Chapter Test Questions, Chapter 1 Equity Securities, Chapter 2 Issuing Primary Market, And more!
Series 66
12 Decks -
1364 Cards -
65 Learners
Decks: Laws Regulations And Guidelines Overview, State Registration Of Securities, State Regulation Governing Broker Dealer, And more!