1
Q
*Investment Constraints (4)
A
- Legal and Regulatory Factors
- Taxes
- Time Horizon
- Unique Needs and Preferences
2
Q
Subjective Consideration vs. Objective Consideration
Financial or Non-Financial Considerations
A
Subjective = Non Financial Objective = Financial
Series 66
flashcards
Decks in class (19)
# Cards
-
Unit 234
-
Unit 129
-
Unit 146
-
Unit 123
-
Unit 212
-
Unit 2135
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Unit 2017
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Unit 619
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Unit 4 - Regulation Of Securities And Issuers30
-
Unit 5 (Partial)14
-
Unit 24 - Retirement21
-
Unit 3 - Regulation of Broker-Dealers and Their Agents19
-
Unit 1028
-
Unit 1324
-
Unit 15 - Insurance Products25
-
Unit 169
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Unit 17 - Alternative Investments and Other Assets17
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Unit 18 - Types of Clients (Includin Parterships and Co.'s)9
-
Unit 19 - Client Profile2
