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Paul Tierney
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Decks in this class (21)
01 Equity Securities
0
cards
Random
What is a bond swap,
When gifting a security what are ...,
What does cost basis mean
3
cards
02 Debt Securities
0
cards
03.1 Municipal Securities
Municipal Securities
70
cards
03.2 Municipal Securities
The bond counsel renders a legal ...,
Which of the following indicates ...,
All of the following could disqua...
60
cards
03.3 Municipal Securities
The revdex consists of i 20 reven...,
What is true of a trust indenture...,
Whichofthefollowingmunicipal secu...
45
cards
04.1 Options
How far is a msft jan 90 call in ...,
How far are the ibm aug 70 calls ...,
An investor is long an ibm mar 90...
90
cards
04.2 Options
How much time value is represente...,
Msft jan 80 calls are trading for...,
What is the maximum gain for the ...
83
cards
05 Investment Companies
Sector funds concentrate on parti...,
Open and closed end funds share a...,
Preventing an investor from achie...
67
cards
06 Direct Participation Programs
All of the following partnerships...,
All of the following are benefits...,
If the offering circular or prosp...
52
cards
07 Annuities and Insurance
Which of the following is true of...,
When will an employee in a simple...,
Which of the following do mutual ...
60
cards
08 Rules and Regulations
An knitting prospectus for a mutu...,
Which of the following would tell...,
Arbitration is binding in which o...
80
cards
09 Taxation and Retirement Plans
Within her ira maria mathers purc...,
Janice myer purchased 1 000 share...,
If the owner of a variable annuit...
54
cards
10 Client Profiles and Investment Risk
Purchasing broad based index puts...,
A fundamental analyst would be co...,
When a company declares a cash di...
32
cards
11 Customers and Brokerage Procedures
Which of the following is true of...,
Which of the following would be c...,
Which of the following is a true ...
126
cards
12 Suitability of Customer Recommendations
Dale is your customer and his mai...,
The occ s odd options disclosure ...,
Your customer has 60 000 that she...
47
cards
14 Economic Factors
Which of the following is a leadi...,
All of the following are lagging ...,
In order to stimulate a sluggish ...
38
cards
15 Issuing Securities
A syndicate is offering stock at ...,
Which of the following may a regi...,
Liability for unsold shares after...
75
cards
16 Trading Securities
Which of the following persons wo...,
A sell stop order would be activa...,
On which of the following prices ...
116
cards
17 Margin Accounts
In a new margin account mildred m...,
If the value of securities decrea...,
If a customer sells 2 000 of secu...
55
cards
Glossary
A shares,
Account at maintenance,
Account executive ae
204
cards
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pass the 7
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