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stephen strum
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Decks in this class (18)
S7
Who attests to the legality of a ...,
If a customer buys a municipal bo...,
From time to time an investor s s...
214
cards
practice questions from kaplan
A corporation plans to issue stoc...,
A bond with 25 years to maturity ...,
An investor takes a short positio...
241
cards
Options
In options bull bear buy a callpu...,
What is b e when buying or sellin...,
In a call 4 scenarios
101
cards
Investment Companies Chapter 4
Calculate nav open end,
Calculate closed end nav,
Diversified
23
cards
Investment Banking chapter 5
Offering primary distribution,
Secondary distribution,
Fees for a new issue components o...
12
cards
Federal Regulation chapter 6
Securities act of 1933,
Exempt securties of 1933,
The securities exchange act of 1934
37
cards
Secondary Market Chapter 7
Auction market,
Negotiated market,
Nasdaq capital market
55
cards
Chapter 8 Customer Accounts
Customer account info,
Capital risk,
Interest rate risk
22
cards
Margin Account Basics Chapter 9
Regulation t,
Sma,
Under reg t payment must be recei...
26
cards
Self Regulatory Organizations Chapter 10
Sec,
Sro,
Form u4
37
cards
Chapter 11 Basics of Life Insurance and Variable Annuities
Variable annuities are considered...,
Accumulation unit,
Annuity unit
29
cards
Chapter 12 Retirement Plans and Education Saving Plans
Inadvisable investments,
Inherited ira s,
A trust
21
cards
Chapter 13 Federal Reserve and General Economics
Monetary policy the federal reser...,
To implement an easy money policy...,
C to implement a tight money poli...
60
cards
Chapter 14 Municipal Bond Basics
General obligation bonds,
Revenue bonds,
Mileage rate
38
cards
Chapter 15 Tax Treatment of Municipal Bonds
Corporate equivalent yield,
Current yield,
Municipal bond premiums premiums ...
35
cards
formulas
Alpha,
Beta,
Balance sheet
44
cards
misc
Finra rule 2111,
Market capitalization current mar...,
Circuit breaker points
9
cards
Definitions
Retail investors,
Regulation t,
Bonds
123
cards
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S7 52423
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