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Michael Sheen
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Decks in this class (22)
Unit 1: Types Of Accounts
These type of accounts may only b...,
The use of borrowed money is refe...,
This account entails the firm len...
103
cards
Unit 2: Obtain Necessary Suitability Information and Approvals
Before making a recommendation fo...,
A customer s ____ is calculated a...,
What is the value of any cash cds...
59
cards
Chapter 01: Building an Investor Profile
True or false there are no suitab...,
What is not pertinent when openin...,
How large can a gift be between s...
23
cards
Chapter 02: Customer Accounts
True or false all corporate offic...,
True or false in a dvp transactio...,
Define pattern day trading
66
cards
Chapter 03: Customer Communications
What are finras 3 categories of c...,
Communication sent by a member fi...,
Written or electronic communicati...
25
cards
Chapter 04: Equities
A _________ is one that s text se...,
______ income is taxed twice firs...,
In many cases certain senior exec...
36
cards
Chapter 05: Fundamentals of Debt
Interest is paid every ____ month...,
Represents the total of all the i...,
If any payments by an issuer are ...
48
cards
Chapter 06: Corporate Debt
What is a convertible bond consid...,
Calculate a bonds conversion ratio,
True or false the bonds conversio...
59
cards
Chapter 07: Municipal Debt
________ are exempt from the fili...,
A __________ is a law passed by a...,
The most common source of tax rev...
58
cards
Chapter 08: U.S. Treasury and Government Agency Debt
__________ are considered non neg...,
Marketable securities are _____ b...,
True or false treasuries may be f...
32
cards
Chapter 10: VARIABLE PRODUCTS
______ are similar to iras in tha...,
Although managed by a third party...,
While mutual fund investors buy s...
78
cards
Chapter 11: Alternative Products
0
cards
Options
What is the breakeven for puts,
What is the breakeven for calls,
A straddle is established with ei...
8
cards
CHAPTER 13 – OFFERINGS
Is a safe harbor which permits se...,
Is a legal document provided to i...,
A ________ agreement dictates the...
57
cards
Chapter 14 Investment Risks, Returns and Disclosures
A municipal securities dealer is ...,
An agency transaction occurs when...,
An agency transaction occurs when...
70
cards
CHAPTER 15 – PORTFOLIO AND MARKET ANALYSIS
The following are sample allocati...,
An rr s clients are a husband and...,
During an initial interview with ...
62
cards
Chapter 16 - Fundamental Analysis
____ investors accumulate shares ...,
_____ analysis focuses on analyzi...,
Technical analysis focuses on
46
cards
CHAPTER 17: ORDERS AND TRADE EXECUTION
Equities that are not listed on e...,
True or false us government bonds...,
Also called an order memorandum i...
103
cards
Chapter 18 Margin
The securities exchange act of 19...,
Regulation _ governs the extensio...,
Marginable securities include
127
cards
CHAPTER 19: SETTLEMENT AND REGULATORY REPORTING
The order audit trail system oats,
Records the life of an order from...,
Is done on a daily basis before t...
37
cards
CHAPTER 20: RESOLVING DISPUTES AND SUITABILITY
A member firm that receives and e...,
In the case of an _ a request may...,
Describes the disciplinary proces...
29
cards
FOCUS POINTS
Are derivative securities that ma...,
Amortizable bond premium the exce...,
If you bought the bond at a marke...
159
cards
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Learn 7
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