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FINRA Series 6

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

By: Caroline Rando
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Decks in this class (6)

Unit 1: Securities Markets, Investment Securities & Economic Factors
Security,
Equity,
Debt
176  cards
Unit 2: Investment Company Securities & Variable Contracts
Variable annuities,
Investment company act of 1940,
Face amount certificate companies...
93  cards
Unit 3: Securities & Tax Regulations
Finra objectives,
Department of enforcement,
Terms of finra membership
96  cards
Unit 4: Marketing, Prospecting, and Sales Presentations
3 types of communications with th...,
Institutional communications,
Retail communication
23  cards
Unit 5: Opening and Servicing Customer Accounts
Opening accounts,
Types of account ownership,
Trading authorization power of at...
31  cards
Unit 6: Suitability and Risk
Customer balance sheet,
Customer income statment,
Alternative minimum tax
21  cards

More about
FINRA Series 6

  • Class purpose General learning

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