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Decks in this class (85)
Equity Securities: Types & Features
Key features this shareholder get...,
Key features this shareholder has...,
Key features unpaid dividends acc...
7
cards
Stocks & Bonds: Rights Vs. Warrants
Term short term 30 60 days 1,
Term long term 1 years 2,
Strike price below market 3
8
cards
Credit Ratings: Moody's Vs. S&P Grading
Grade highest rating credit ratin...,
Grade highest rating credit ratin...,
Grade high rating credit rating a...
16
cards
Bonds: Type, Maturity, Interest Payments, & Features
Key features no periodic interest...,
Interest payment discount to par 2,
Key features fixed interest rate ...
18
cards
Options: Basic Positions
Right obligation right to buy 1,
Right obligation obligation to se...,
Right obligation right to sell 3
4
cards
Options: Contract Basics
Call option in the money itm 1,
Put option in the money itm 2,
Call option at the money atm 3
6
cards
Settlements: T+1 / T+2 / Same Day
What type of settlement is an equ...,
What type of settlement is a bond...,
What type of settlement is an opt...
4
cards
Investment Co: Open-End/Closed-End/UIT & Packaged Products: ETF/ETN
Key features pop nav 100 sales ch...,
Key features can trade at premium...,
Key features fixed portfolio expi...
5
cards
Mutual Fund: Share Classes
Sales charge at purchase 1,
Sales charge none minimum cdsc 2,
Sales charge cdsc back end 2
12
cards
SEC Registration: Account Types
Features single beneficial owner 1,
Features all owners share equally 2,
Features divided interest 3
8
cards
Order Types: Stop (-Loss) & Limit
Entered above current market price 1,
Entered below current market price 2,
Entered below current market price 3
8
cards
Liquidation Priorities: Order of Disbursement
Place in order of liquidation pri...,
Common stock what number is this ...,
Subordinated debentures 3
7
cards
Trading Orders: Market/Limit/Stop/Stop-Limit/Day/GTC/IOC/FOK/AON
Key features always filled price ...,
Key features execution not guaran...,
Key features always filled once t...
15
cards
Risk Type: Systemic Risks Vs. Non-Systemic Risks
Definition overall market decline...,
Definition bond prices fall when ...,
Definition purchasing power drops...
11
cards
Cash Vs. Margin Accounts
Payment full payment required 1,
Payment can borrow up to 50 2
2
cards
Money Market Instruments
Definition us government backed s...,
Example a money market instrument...,
Definition arrangement where a de...
27
cards
Key Math Calculations
What is the formula to calculate ...,
What is the formula to calculate ...,
What is the formula to calculate ...
3
cards
Margin Account Formulas
What is the initial investment mi...,
What is the initial investment mi...,
If this is on a margin account it...
4
cards
Broker-Dealers Vs. Investment Advisers
Role trades regulatory finra key ...,
Role advise regulatory sec key fu...
2
cards
Books and Records Retention
Key details account agreements si...,
Key details quarterly baseline mo...,
Key details daily records of all ...
8
cards
Corporate Actions
Effect on position more shares lo...,
Effect on position additional sha...,
Effect on position cash payment r...
4
cards
Customer Account Violations
Rule prohibited with limited exce...,
Rule with bod customer approval p...,
Rule absolutely prohibited for ga...
6
cards
Dividend Timeline (DERP)
Significance board of directors d...,
Significance the first day the st...,
Significance must own stock on th...
4
cards
Prohibited Trading Practices
Definition trading ahead of block...,
Definition excessive trading for ...,
Definition failure to honor a fir...
16
cards
Anti-Money Laundering (AML) Documents
Threshold 5 000 suspicious activi...,
Threshold 10 000 cash transaction...,
Threshold 3 000 10 000 cash like ...
3
cards
Reg S-P Requirements: Customer Vs. Consumer
Reg s p requirements 1,
Reg s p requirements 2,
Reg s p requirements 3
7
cards
Underwriting Entities & Roles
Responsibilities leads allocates ...,
Responsibilities sells allocated ...,
Responsibilities sales only compe...
3
cards
Underwriting Periods
Duration until registrations file...,
Duration 20 days minimum activiti...,
Duration after sec registration f...
3
cards
Types of Underwriting Commitment
Underwriter risk high principal i...,
Underwriter risk low agent only i...,
Underwriter risk medium issuer ri...
3
cards
Types of Trade Data Communications
Definition 25 retail 30 days pre ...,
Definition 25 retail in 30 days p...,
Definition institutional only pre...
6
cards
Misc. Exempt Transactions: S.E.C. Rules & Regulations
Description intrastate only requi...,
Description restricted control re...,
Description institutional private...
4
cards
Restricted and Control Securities
Definition acquired in private pl...,
Definition owned by affiliate own...,
Definition both apply holding per...
3
cards
Self-Regulatory Organizations (SROs)
Type federal registration 1,
Type self regulatory organization...,
Type self regulatory organization...
9
cards
Stages of the Business Cycle
Gdp rate movement rising employme...,
Gdp rate movement highest employm...,
Gdp rate movement declining emplo...
4
cards
Economic Indicators: Leading, Coincidental, and Lagging
Prediction future direction timin...,
Prediction current state timing s...,
Prediction confirms changes timin...
6
cards
Option Concepts: Premium Calculations
Intrinsic value time value of mon...,
Amount the option is in the money...,
Premium intrinsic value 3
7
cards
Insider Trading
Definition information that would...,
Definition information that is no...,
Definition person up to 3x the am...
6
cards
Acts of Legislation
Primary purpose regulates new ini...,
Primary purpose regulate secondar...,
Primary purpose regulate investme...
4
cards
Types of REITs
Public yes sec registration yes w...,
Public no sec registration yes wh...,
Public no sec registration no wha...
6
cards
Forward & Reverse Stock Splits
Example 2 1 what type of stock sp...,
Example 1 2 what type of stock sp...,
Example exchange of two shares in...
12
cards
Bond See-Saw: Bond Price/Yield (Inverse Relationship)
Current stock yield 35 1,
Current stock yield 35 2,
Current stock yield 35 3
3
cards
Basic Municipal Bond Types
Key features highest safety voter...,
Key features higher yield higher ...,
Key features funding for specific...
8
cards
REG BI - FINRA/MSRB/SEC: Four Obligations: Suitability Standards
Broker dealer must recommend 1,
Written disclosure before at time...,
Three components reasonable basis...
61
cards
Direct Participation Programs (DPPs): Limited Vs. General Partners
Management manages partnership is...,
Management passive investor only ...,
Liability unlimited liability 3
10
cards
Retirement Accounts
Key features very common often pr...,
Key features tax sheltered annuit...,
Key features non employee retirem...
5
cards
529 Plans vs ABLE Accounts
Purpose educational expenses cont...,
Purpose disabled individuals cont...
2
cards
Anti-Money Laundering (AML) Program Components
Requirement designated aml office...,
Requirement detect report suspici...,
Requirement ongoing training what...
5
cards
Short-Term Municipal Anticipation Bond Notes
Purpose bridge until taxes are pa...,
Purpose bridge until revenue is r...,
Purpose temporary until bonds are...
6
cards
Basic Option Strategies
Purpose generate income example l...,
Purpose hedge long position examp...,
Purpose generate income example s...
4
cards
Types of Annuities: Variable Vs. Fixed
Investment risk insurance company...,
Investment risk annuitant investo...
2
cards
Annuity Timelines: Periods & Phases
Pay in period smallest check join...,
Pay out period moderate check lif...,
Contingent deferred sales charge ...
3
cards
MSRB: RULE G-37: Pay-to-Play Requirements
Msrb rule g 37 is designed to pre...,
Msrb rule g 37 component 2,
Msrb rule g 37 component 3
5
cards
Normal Yield Curve VS. Inverted Yield Curve
Long term rates are higher than s...,
Short term rates are higher than ...
2
cards
Form CRS: Delivery Requirements
Who is required to deliver the fo...,
When must form crs be delivered 2,
What relationship information mus...
6
cards
Types of Bonds & Risk Level
Examples mortgage bonds equipment...,
Examples debentures risk medium w...,
Examples subordinated debentures ...
4
cards
Regulatory Standards: Types of Regulation D Offerings Rule 504 / Rule 506(b) / Rule506(c)
Offering limit 10 million investo...,
Offering limit unlimited investor...,
Offering limit unlimited investor...
3
cards
Regulatory Standards: Regulations Accredited/Gift/Selling Away/OBA
Key standard sophistication test ...,
Key standard anti corruption thre...,
Key standard paid outside transac...
4
cards
Yield Spread: Wide Vs. Narrow
What direction is the credit spre...,
What direction is the credit spre...
2
cards
Misc. Instruments: Coverdell ESA/LGIP/HF
Key features 2k annually very fle...,
Key features municipal government...,
Key features accredited investors...
3
cards
Basic Trading Strategies: Not On Exam
Definition this is a bullish dire...,
Definition this is a bearish dire...,
Definition this is a bearish to n...
21
cards
Equity Securities: Assignments
Assignment performed by 1,
Assignment performed by 2,
Assignment performed by 3
4
cards
Mutual Fund: Sponsor Duties
Establishes the mutual fund 1,
Mutual fund underwriting 2,
Manages the mutual fund 3
4
cards
Net Asset Value (NAV): Calculation & Examples
If a closed end fund s net asset ...,
A closed end fund s market liquid...
2
cards
Equity Securities: Primary Market & Secondary Market
Secondary market structured stand...,
Secondary market over the counter...,
Secondary market otc trading of e...
9
cards
Bid-Ask Spread: Calculations & Examples
The after hours market is charact...,
Blank 2,
Blank 3
4
cards
Accrued Interest: Corporate Vs. Municipal Vs. Federal Vs. Trade Flat
Interest begins to accrue from th...,
Method to calculate accrued inter...,
Method to calculate accrued inter...
8
cards
Mutual Fund Vs. Hedge Funds: Compare & Contrast
Subject to regulation 1,
Only available to qualified purch...,
Are liquid 3
4
cards
Mutual Funds: Closed-End Vs. Open-End
Structure 1,
Trading 2,
Pricing 3
20
cards
Risk Type: Market/Inflation/I.R./Credit/Pre-Payment/Political/Liquidity/Currency/Call/Re-Investment/Business/Capital/Marketability/Reglatory/Legislative
Blank 1,
Blank 2,
Blank 3
18
cards
Order Reductions: Splits/Dividends/DNI/DNR
Blank 1,
Blank 2,
Blank 3
12
cards
I.T.M. / A.T.M. / O.T.M.
0
cards
Shorting Stock Vs. Putting Stock
0
cards
Speculative Strategies: Bullish
0
cards
Speculative Strategies: Bearish
0
cards
Bullish Market Vs. Bearish Market
0
cards
Strategies: Long Call / Short Call / Long Put / Short Put
Right choice to buy the underlyin...,
Obligation must sell deliver the ...,
Right choice to sell deliver the ...
4
cards
Strategies: Call Holder / Put Holder / Call Writer / Put Writer
Call holder buyer maximum gains 1,
Call writer seller maximum losses 2,
Call holder buyer maximum losses 3
12
cards
FINRA Investor Suitability
Suitable investments 1,
Suitable investments 2,
Suitable investments 3
5
cards
Consumer Vs. Customer: Privacy Policies and Procedures Notice
Notice initial notice required if...,
Opt out required if firm wants to...,
Notice initial and annual notice ...
5
cards
Trading Authorization: Limited/Full/Discretionary
Which level of trading authority 1,
Which level of trading authority 2,
Which level of trading authority 3
9
cards
FINRA/MSRB Rules: Opening Accounts For Employees Of Other Firms
What are the three requirements f...,
The associated person must notify...,
The associated person must have w...
8
cards
Maintenance Of Brokerage Accounts
Customer order verification 1,
Customer order verification 2,
Customer order verification 3
33
cards
Senior Citizen Rules
Senior citizen suitability 1,
Senior citizen suitability 2,
Typically unsuitable recommendati...
15
cards
Senior Citizens Suspected Of Diminished Mental Capacity
Senior citizen suspected of dimin...,
Senior citizen suspected of dimin...,
Senior citizen suspected of dimin...
12
cards
Margin Accounts: Introduction
Introduction to margin accounts 1,
Introduction to margin accounts 2,
Introduction to margin accounts 3
8
cards
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A SIE: Cheat Sheet
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SIE Exam
- 14 decks
- 1,499 flashcards
- 12,453 learners
Decks:
Equity Securities, Debt Securities, Types Of Bonds, And more!
