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talia bennick
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Decks in this class (13)
Unit 5- Customer Accounts
New account form 1,
Usa patriot act of 2001 2,
Cips 3
25
cards
Unit 6- Margin Accounts
Long margin account 1,
Short margin account 2,
If purchase 100 shares at 20 with...
33
cards
Unit 7- Issuing Securities
Red herring 1,
Tombstone advertisements 2,
Access equals delivery model 3
40
cards
Unit 8- Trading Securities
Otc market 1,
Second market 2,
Third market 3
48
cards
Unit 9- Brokerage Support Services
Order ticket 1,
Trade confirmation 2,
Regular settlement date is how ma...
16
cards
Unit 10- Investment Products
Uit 1,
Fac 2,
Open ended funds 3
41
cards
Unit 11- Retirement Plans
Are contributions tax deductible ...,
Irs must approve qualified nonqua...,
Qualified nonqualified plans may ...
46
cards
Unit 12- Variable Annuities
Is a fixed annuity a security 1,
Is a variable annuity a security 2,
Are payments to annuities made wi...
27
cards
Unit 13- Direct Participation Programs
Limited partnership 1,
Which type of lp can be traded on...,
What is another name for an lp 3
20
cards
Unit 14- Economics & Analysis
Definition of a depression 1,
What is the sequence of the 4 bus...,
How does cpi account for inflation 3
59
cards
Unit 15- Ethics/Taxation
Selling away 1,
Churning 2,
Reverse churning 3
32
cards
Unit 16- US Gov & State Reg
The maloney act 1,
Trust indenture 2,
Trust indenture act of 1939 3
25
cards
Unit 17- SEC & SRO RULES
When making statements about a fu...,
What is the current yield calcula...,
You must must not disclose all ma...
3
cards
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SERIES 7
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