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Donovan Kattner
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Decks in this class (20)
Chapter 1 - Market Participation and Market Structure
A customer has an account with a ...,
The market makers for stocks that...,
The market in which an issuer rai...
33
cards
Chapter 2 - Regulation
If a broker dealer declares bankr...,
Msrb rules do not apply to,
The primary purpose of a self reg...
20
cards
All Chapters
The investment advisers act of 19...,
Promoting fair and equitable prac...,
Uses an a b c test to determine w...
193
cards
Chapter 3 - Equity Securities
True or false adrs are securities...,
True or false adrs price reflects...,
True or false adrs increased trad...
28
cards
Chapter 4 - Debt Instruments
During periods of rising interest...,
Who derives the most benefit from...,
What other terms are used for int...
25
cards
Chapter 5 - Type of Debt Instruments
A municipality borrowing for a sh...,
For an industrial development bon...,
Which of the following approvals ...
35
cards
Chapter 6 - Investment Returns
The ex dividend date occurs _____...,
Date on which the dividend is ann...,
Date on which the dividend is dis...
27
cards
Chapter 7 - Packaged Products
If a mutual fund investor chooses...,
A provision that provides a sales...,
A contingent deferred sales charg...
34
cards
Chapter 11 - Offerings
The aftermarket prospectus delive...,
Securities that are exempt from r...,
Rule 144a exempts sellers from th...
27
cards
Chapter 12 - Orders and Trading Strategies
A buy or sell order that may not ...,
An order that will only be execut...,
A buy or sell order that will be ...
24
cards
Chapter 13 - Settlement and Corporate Actions
Order ticket details regarding ho...,
Occurrence of a trade in the mark...,
Executing firms agree to the deta...
25
cards
Chapter 8 - Variable Contract and Municipal Fund Securities
A customer may contribute each ye...,
True or false regarding 529 prepa...,
For variable annuities which of t...
21
cards
Chapter 9 - Alternative Investments
Designed to perform in a manner t...,
Linked to the performance of a be...,
Similar to an etf but its shares ...
22
cards
Chapter 14 - Customer Accounts
Allows cash and securities to be ...,
True or false if a customer speci...,
The reg t margin requirement for ...
31
cards
Chapter 15 - Compliance Considerations
Broker dealers must verify the id...,
The three stages of money launder...,
Broker dealers must verify the id...
20
cards
Chapter 16 - Prohibited Activities
Failing to buy or sell up to the ...,
Excessive trading in a clients ac...,
Establishing increasing decreasin...
17
cards
Chapter 17 - SRO Requirements for Associated Persons
Describes the responsibilities th...,
The result of being convicted of ...,
Document that must be filed with ...
7
cards
Chapter 19 - Economic Factors
What is the effect of raising the...,
For collateralized loans they mak...,
The federal reserve board will __...
11
cards
Chapter 20 - Investment Risks
Beta measures an investments ____...,
Measures a bonds sensitivity to i...,
Taking what a stock actually earn...
11
cards
Extra Q's
A customer purchased a 5 bond yie...,
A customer buys 2 abc feb 20 puts...,
When a registered representative ...
38
cards
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Securities Exam
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