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This class was created by Brainscape user Monika Lesniak. Visit their profile to learn more about the creator.

By: Monika Lesniak
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Decks in this class (17)

Chapter 1 Overview of Regulation
Act of 1933 1,
Act of 1934 2,
A financial and operational combi...
51  cards
Chapter 2 Reg Requirements for Member Firms
Principles 1,
Series 4 2,
Series 24 3
29  cards
Chapter 3 Registration and Regulation of Broker Dealer Employees
U4 must signed and submitted with...,
Crd provides 2,
Registration specific to 3
43  cards
Chapter 4 Equity and Derivative Securities
Liquidation proceedings 1,
Common vs preferred 1 voting righ...,
Preemptive rights 3
52  cards
Chapter 5 Fixed-Income Securities
Bond basics bands represent what ...,
Bond basics form of issuance 2,
Bond premium means ___ par discou...
38  cards
Chapter 6 Investment Companies
Investment companies is 1,
Types of investment companies see...,
Exchange traded funds etfs is an ...
26  cards
Chapter 7 Client Accounts
Red flag issue a client asks to o...,
Finra rules for opening cash acco...,
Red flag issue an rr asks you to ...
50  cards
Chapter 8 Overview of Clearing
Introduction clearance settlement...,
Clearing overview dtcc nscc ficc ...,
Depository trust and clearing cor...
7  cards
Chapter 8 Part 2 Clearing part 2
Brokerage arrangements 1,
The prime broker offers specializ...,
Prime brokerage illustrated 3
15  cards
Chapter 9 Order Processing and Trading Markets
Who touches a trade sales trading...,
Life cycle of a trade 2,
The order audit trail system oats...
35  cards
Chapter 10 Cashiering
Blank 1
1  cards
Chapter 10 Cashiering
Cashiering department 1,
Holding your securities 2,
Deposit or withdrawal at custodia...
22  cards
Chapter 11 Margin
Margin account documents 1,
Margin accounts accounts may be s...,
Marginable securities 3
23  cards
Chapter 12 Custody and Corporate Actions
Custody functions 1,
The securities count conducted on...,
Securities information center sic...
25  cards
Chapter 13 Record Keeping and Financial Responsibility
Net capital 1,
Minimum net capital requirements 2,
Financial reports a firm s princi...
24  cards
Chapter 14 Retirement and Education Savings Accounts
Erisa 1,
Retirement plans 401k roth taxes 2,
Traditional and roth iras 3
4  cards
Chapter 15 Annuity and Direct Participation
Fixed versus variable 1,
Annuity contract sub accounts are...,
1035 exchange provision in the ta...
15  cards

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