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Series 7 Top-off Exam flashcards

Dummies Series 7

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

By: David Freiler
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Decks in this class (13)

Manually Entered
What is the formula for sma,
A _________ is an offering of sec...,
What is the formula for shorting ...
23  cards
Chapter 5: Underwriting Securities
Which of the following types of u...,
A broker dealer is offering an ip...,
The cooling off period for a new ...
26  cards
Chapter 6: Stocks
Adjustable rate preferred stock h...,
Abc is issuing new shares through...,
Abc is offering 2 000 000 shares ...
6  cards
Chapter 7: Corporate and US Govt Bonds
Months with 31 days 7,
Which of the following bond certi...,
A client purchased an abc convert...
24  cards
Chapter 8: Municipal Bonds
A client purchases a new municipa...,
If an investor purchases 6 1 2 re...,
An individual has a house on the ...
21  cards
Chapter 9: Margin Accounts
If client removes sma what are th...,
If a client has a debit balance i...,
If a client withdraws any excess ...
48  cards
Chapter 10: Packaged Securities
Dca average cost per share formula,
Pop of mutual fund,
Accumulation units vs annuity units
13  cards
Chapter 11: Direct Participation Programs
Direct participation program,
Limited partnership must avoid 3 ...,
Limited partners cost basis
27  cards
Chapter 12: Options
Opening purchase,
Opening sale,
Closing purchase
76  cards
Chapter 13: Portfolio and Securities Analysis
Balance sheet formula,
Calculate working capital,
Calculate net worth
19  cards
Chapter 14: Orders and Trades
What does bliss stand for,
What does slobs stand for,
What does dont eat rubber pickles...
39  cards
Chapter 15: Taxes
Which of the following are qualif...,
All of the following are true abo...,
A self employed carpenter has ear...
10  cards
Chapter 16: Rules and Regulations
A ______ is anyone who can legall...,
Fiduciaries are subject to the __...,
Registered reps must complete the...
48  cards

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Dummies Series 7

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