SERIES 7 TOPOFF -- SANDBOX Flashcards

Decks in this Class (8):

• Communications With The Public New Issue

  Communications with the Public & New Issue Market

  Sample Cards:

  act of 1933,

  first steps,

  period following filing
  150 Cards
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• Customer Accounts Retirement Plans

  Customer Accounts & Retirement Plans

  Sample Cards:

  account types,

  know your customer,

  signatures
  122 Cards
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• Securities Products Suitability

  Securities Products & Suitability

  Sample Cards:

  conversion ratio,

  convertible bond risk characteristics,

  convertible bond s conversion price
  432 Cards
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• Options

  Options

  Sample Cards:

  option tax consequences,

  first options trade,

  options agreement signature
  250 Cards
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• Direct Participation Programs

  Direct Participation Programs

  Sample Cards:

  corporations,

  partnership taxation,

  llp setup
  73 Cards
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• Municipal Securities

  Municipal Securities

  Sample Cards:

  types of munis,

  legal opinion,

  legal opinion types
  237 Cards
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• Margin Accounts

  Margin Accounts

  Sample Cards:

  margin basics,

  risk in margin,

  margin credit agreement
  112 Cards
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• The Secondary Market Equity Trading Disp

  The Secondary Market, Equity Trading, & Dispute Resolution

  Sample Cards:

  trade settlement,

  retail stock orders,

  settlement accounting
  145 Cards
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