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Griffin Horne
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Decks in this class (19)
Chapter 1- Equity securities 10-15 questions
What two sides are the investment...,
What is a security 2,
Debt security 3
79
cards
Chapter 2- Debt Securities 15-25 questions
Most common issuers of debt secur...,
Senior security 2,
Funded debt 3
56
cards
Chapter 2- Debt Securities Continued 16-25
Us government and agency securiti...,
T bills 2,
Treasury notes 3
55
cards
Chapter 3- Municipal Securities 30-40 questions
Municipal bonds 1,
Municipal bond taxation 2,
Issues of municipals 3
77
cards
Chapter 3: Municipal Securities Rules And Regulations
Securities act of 1975 1,
Municipal finance professional 2,
Three categories of msrb rules 3
24
cards
Chapter 4 Options 25-30 Questions
Basics of an option 1,
Equity options 2,
Underlying securities of an option 3
80
cards
Chapter 6- Margin Accounts 3-7 Questions
2 types of margin accounts 1,
Documents in a margin agreement 2,
Regulation t form the securities ...
35
cards
Chapter 7- Issuing Securities 10-15 questions
Securities act of 1933 1,
Securities act of 1934 2,
Purpose of 1933 act requirements ...
59
cards
Chapter 5- Customer Accounts 15-25 Questions
New account form 1,
Know your customer rules 2,
Usa patriot act 2001 3
49
cards
Chapter 8- Trading securities 20-25 questions
Basics of the securities exchange...,
Composition of sec 2,
Registration of exchanges and fir...
87
cards
Chapter 9- Brokerage Support Services 15-20 questions
Steps for processing a securities...,
Other departments involved in tra...,
Other people may care 3
41
cards
Chapter 10: Investment Company Products 17-20 questions
What is an investment company 1,
Investment companies act of 1940 2,
Face amount certificate company 3
79
cards
Chapter 11- Retirement Plans 5-10 Questions
Qualified retirement plans 1,
Nonqualified plans 2,
Nonqualified deferred compensatio...
28
cards
Chapter 12- Variable Annuitie 5-10 Questions
Annuity non qualified retirement ...,
Fixed annuity 2,
Variable annuity 3
24
cards
Chapter 14- Economics And Analytics 15-20 Pages
Economics 1,
Business cycles 2,
Us commerce department definition...
69
cards
Chapter 13- Direct Participation Programs 5-12 Questions
Definition of a direct participat...,
Limited partnerships 2,
Tax reporting 3
32
cards
Chapter 15- Ethics, Recommendations And Taxation
Rule makers for securities indust...,
Customer ethics and responsibilit...,
Ethical business practices 3
82
cards
Chapter 16- US Government and State Rules And Regulations 15-20 Qs
The securities act of 1933 1,
Securities exchange act of 1934 2,
Tender offers 3
27
cards
Chapter 17- SEC And sRO Rules And Regs 15-20
Securities and exchange commission 1,
Associated persons 2,
Fingerprinting 3
48
cards
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Series 7- Passed with 83%
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