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Madison Jonas
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Decks in this class (46)
UNIT 01.01-001
A customer purchases a 4 corporat...,
Which of the following statements...,
Transactions in all of the follow...
11
cards
UNIT 01.02-001
Which of the following are exempt...,
The cooling off period is,
If a customer expressed interest ...
10
cards
UNIT 01.03-001
Which of the following terms desc...,
Listed securities primarily trade...,
The regular way ex dividend date ...
10
cards
UNIT 02.01-001
A couple wishes to start a withdr...,
A shareholder has 800 to invest i...,
A fund seeks to preserve capital ...
10
cards
UNIT 02.02-001
A client who purchased a variable...,
Upon annuitization of variable an...,
During a recession payments from ...
20
cards
UNIT 02.03-001
In the prior year your customer r...,
The conduit theory of taxation he...,
In order to be considered a long ...
14
cards
UNIT 03.01-001
A client and his spouse own share...,
When a member firm opens an accou...,
For which of the following pairs ...
10
cards
UNIT 03.03-001
0
cards
UNIT 03.02-001
In 401 k plans employers can make...,
A teacher has a 403 b tax qualifi...,
Employee retirement income securi...
10
cards
UNIT 03.04-001
Your customer lane has an individ...,
In an acats transfer the firm tha...,
A registered representative enter...
10
cards
UNIT 04.01-001
Asset allocation theory states th...,
Don t put all your eggs in one ba...,
An investment approach that focus...
10
cards
UNIT 04.02-001
Your customer is 24 years old ear...,
While prospecting for clients you...,
In order to minimize liquidity ri...
10
cards
UNIT 05.01-001
Which of the following entities m...,
Finra rule 2210 treats interactiv...,
Which of the following pieces of ...
10
cards
UNIT 05.02-001
If mediation fails the dispute pr...,
Who should handle a written compl...,
Finra encourages members in a mon...
10
cards
UNIT 05.03-001
Which of the following does not a...,
If a finra member firm suspends a...,
The central registration deposito...
10
cards
Other
The standard disclosure document ...,
In corporate issues it is normall...,
For other exempt offerings the mo...
7
cards
UNIT 01.01-002
The best time to purchase shares ...,
A popular asset found in the port...,
A money market mutual fund portfo...
10
cards
UNIT 01.02-002
Which of the following statements...,
Which of the following are not co...,
Which of the following is not an ...
10
cards
UNIT 01.03-002
For a nonexempt security regulati...,
Which of the following statements...,
Under the uniform practice code r...
10
cards
UNIT 02.01-002
Which of the following statements...,
Your customer originally invested...,
Mutual fund shares represent an u...
10
cards
UNIT 02.02-002
When may a variable annuity accou...,
Which of the following is a possi...,
The conduct rules do not impose a...
10
cards
UNIT 02.03-002
Mutual fund shareholders are not ...,
In july a customer invested 10 00...,
Which of the following statements...
10
cards
UNIT 03.01-002
Under the rules governing the act...,
Which of the following would suff...,
Which of the following statements...
10
cards
UNIT 03.02-002
Your client works full time for s...,
In which of the following cases w...,
Which of the following individual...
10
cards
UNIT 03.03-002
Under regulation s p nonpublic pe...,
Obtaining all of the following co...,
For a non us person which of the ...
10
cards
UNIT 04.01-002 2
An aggressive investor will likel...,
An option disclosure document mus...,
Which of the following best defin...
10
cards
UNIT 03.04-002
A carrying firm that does not hav...,
Discretionary authority is not re...,
A transfer of assets between acco...
10
cards
UNIT 04.02-002
A registered representative is ta...,
Which of the following is not a f...,
If an investor has 20 000 to inve...
10
cards
UNIT 05.01-002
Filing at least 10 business days ...,
A broker dealer s website is whic...,
Filing with finra is required for...
10
cards
UNIT 05.02-002
Finra encourages attempting to se...,
After a finra audit if the depart...,
The code of procedure contains re...
10
cards
UNIT 05.03-002
In order to register an associate...,
The registration of an associated...,
Which of the following is not inf...
10
cards
UNIT 01.01 003
If your customer holds 10 klp 6 b...,
Which of the following is not a m...,
Your customer buys a 5 bond at a ...
10
cards
UNIT 01.01 004
Three years ago your client inves...,
Tocoma coffee 5 preferred stock t...,
Which of the following terms appl...
20
cards
UNIT 01.01 005
Which of the following would be o...,
Ginnie mae pass throughs will pay...,
When trading common stock either ...
10
cards
UNIT 01.01 006
What happens to outstanding fixed...,
Which of the following statements...,
One of your clients is interested...
20
cards
UNIT 01.01 007
Under which of the following circ...,
Which of the following though iss...,
All of the following statements r...
20
cards
FORMULAS
The formula for current yield is,
The formula for net investment in...,
The formula for calculating capit...
4
cards
UNIT 01.01 008
If your customer has two bonds an...,
Which of the following income inv...,
An investor is considering purcha...
21
cards
UNIT 01.02 003
The provisions of the securities ...,
Which of the following securities...,
Which of the following is not iss...
20
cards
UNIT 01.02 004
What is the maximum number of acc...,
A registered representative may u...,
All of the following actions take...
20
cards
UNIT 01.03 003
An exchange is part of what marke...,
Regarding settlement of a custome...,
When do secondary market trades o...
20
cards
UNIT 02.01 003
An investor purchases 10 000 of t...,
Which of the following mutual fun...,
An investment company portfolio m...
20
cards
UNIT 02.01 - Open End vs Closed End
Open end or closed end capitaliza...,
Open end or closed end capitaliza...,
Open end or closed end issuescomm...
15
cards
Test Topic Alerts (all chapters)
0
cards
UNIT 02.01 004
A mutual fund must send a check f...,
Which of the following securities...,
Which of the following would affe...
20
cards
UNIT 02.01 005
The xyz open end growth fund char...,
A no load fund sells its shares t...,
A client owns 100 shares of the r...
4
cards
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PFS SERIES 6
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