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Securities Industry Essentials

This class was created by Brainscape user Froy Ortega. Visit their profile to learn more about the creator.

By: Froy Ortega
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Decks in this class (19)

Terms
Prep Material
52  cards
Regulatory Entities and Agencies
Learn about the SEC, SROs, and other agencies and their purposes
13  cards
Market Makers
What is a market maker 1,
Why are market makers important 2,
Who regulates market makers 3
12  cards
Market Participants and their roles
Learn about investors, broker dealers, investment advisors and municipal advisors, issuers and underwriters, traders and market makers, custodians and trustees, transfer agents, depositories and clearing corps.
13  cards
Underwriting and team players
Learn how a new security enters the market
49  cards
Equity Securities
Understanding corporate ownership.
37  cards
Debt Securites
Identify bond types, terms, and understand yield
64  cards
Municipal Securities
Define municipal bonds 1,
Define general obligation bonds g...,
Define revenue bonds with examples 3
53  cards
Investment Companies
Define investment companies 1,
List the three types of investmen...,
What must an investment company d...
38  cards
DPPs (limited partnerships)
What is a direct participation pr...,
What are features of dpps 2,
How does the irs determine if an ...
34  cards
Options (Puts/Calls)
Define options 1,
Reading an option buy or sell 2,
Reading an option contract size 3
77  cards
Account Types
What is the new account form 1,
What is contained in the new acco...,
What needs to be updated if a cli...
37  cards
Market and Risks
What is systemic undiversified or...,
Types of systemic risk market ris...,
Types of systemic risk interest r...
64  cards
Order types and execution
What is the primary market 1,
What are the three categories of ...,
What is the secondary market 3
48  cards
Taxes and IRAs
Who collects taxes for the us gov...,
What is the progressive tax categ...,
What is the regressive tax catego...
44  cards
Rules and Regulations
What is the role of the sec 1,
Who must register with the sec 2,
What happens if a firm does not c...
40  cards
Records retention
What are the sec retention requir...,
The following records must be kep...,
The following records must be kep...
10  cards
FINRA violations
What is commingling of funds 1,
What is interpositioning 2,
What is giving or receiving of gi...
25  cards
RISKS 2.0
What is market risk 1,
What is credit risk 2,
What is inflation risk 3
14  cards

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Securities Industry Essentials

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