Decks in this Class (17):
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Chapter 1 Overview Of Regulation
Chapter 1 Overview of Regulation
Sample Cards:act of 1933,act of 1934,a financial and operational combined uni51 CardsPreview Flashcards -
Chapter 2 Reg Requirements For Member Fi
Chapter 2 Reg Requirements for Member Firms
Sample Cards:principles,series 4,series 2429 CardsPreview Flashcards -
Chapter 3 Registration And Regulation Of
Chapter 3 Registration and Regulation of Broker Dealer Employees
Sample Cards:u4 must signed and submitted with finger,crd provides,registration specific to43 CardsPreview Flashcards -
Chapter 4 Equity And Derivative Securiti
Chapter 4 Equity and Derivative Securities
Sample Cards:liquidation proceedings,common vs preferred 1 voting rights 2 di,preemptive rights52 CardsPreview Flashcards -
Chapter 5 Fixed Income Securities
Chapter 5 Fixed-Income Securities
Sample Cards:bond basics bands represent what of an i,bond basics form of issuance 1 bearer 2,bond premium means ____ par discount mea38 CardsPreview Flashcards -
Chapter 6 Investment Companies
Chapter 6 Investment Companies
Sample Cards:investment companies is,types of investment companies see slied,exchange traded funds etfs is an investm26 CardsPreview Flashcards -
Chapter 7 Client Accounts
Chapter 7 Client Accounts
Sample Cards:red flag issue a client asks to open a n,finra rules for opening cash accounts kn,red flag issue an rr asks you to change50 CardsPreview Flashcards -
Chapter 8 Overview Of Clearing
Chapter 8 Overview of Clearing
Sample Cards:introduction clearance matching the deta,clearing overview dtcc nscc ficc clearin,depository trust and clearing corporatio7 CardsPreview Flashcards -
Chapter 8 Part 2 Clearing Part 2
Chapter 8 Part 2 Clearing part 2
Sample Cards:brokerage arrangements prime brokerage,the prime broker offers specialized serv,prime brokerage illustrated the client p15 CardsPreview Flashcards -
Chapter 9 Order Processing And Trading M
Chapter 9 Order Processing and Trading Markets
Sample Cards:who touches a trade sales trading purcha,life cycle of a trade,the order audit trail system oats is wha35 CardsPreview Flashcards -
Chapter 10 Cashiering
Chapter 10 Cashiering
Sample Cards:new card1 CardsPreview Flashcards -
Chapter 10 Cashiering
Chapter 10 Cashiering
Sample Cards:cashiering department responsibilities i,holding your securities three options 1,deposit or withdrawal at custodian dwac22 CardsPreview Flashcards -
Chapter 11 Margin
Chapter 11 Margin
Sample Cards:margin account documents new account for,margin accounts accounts may be subject,marginable securities only specific secu23 CardsPreview Flashcards -
Chapter 12 Custody And Corporate Actions
Chapter 12 Custody and Corporate Actions
Sample Cards:custody functions a b d that maintains c,the securities count conducted on a quar,securities information center sic report25 CardsPreview Flashcards -
Chapter 13 Record Keeping And Financial
Chapter 13 Record Keeping and Financial Responsibility
Sample Cards:net capital net capital is a measurement,minimum net capital requirements require,financial reports a firm s principal chi24 CardsPreview Flashcards -
Chapter 14 Retirement And Education Savi
Chapter 14 Retirement and Education Savings Accounts
Sample Cards:erisa created standards for private sect,retirement plans 401k roth taxes,traditional and roth iras4 CardsPreview Flashcards -
Chapter 15 Annuity And Direct Participat
Chapter 15 Annuity and Direct Participation
Sample Cards:fixed versus variable payout ___ conside,annuity contract sub accounts are valued,1035 exchange provision in the tax code15 CardsPreview Flashcards
