This class was created by Brainscape user Michelle Pace. Visit their profile to learn more about the creator.
By:
Michelle Pace
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Decks in this class (16)
Ch 1 Laws & Regs Overview
Exempt security 1,
Who governs federal registration ...,
Who is a person 3
16
cards
Ch 2 State Reg Of Securities
What is a security examples and w...,
Registration by filing notificati...,
Methods of state registration 3
18
cards
Ch 3 State Reg Of BDs
When does an issuer rep not have ...,
What are finders and must they re...,
Do issuers banks savings institut...
22
cards
Ch 4 State Regs Of IAs
Who is an investment advisor 1,
Who is excluded and exempt from s...,
Federal covered advisors under ns...
22
cards
Ch 5 Fed Reg Of IAs
When to register with fed vs state 1,
When does an ia need to withdraw ...,
Sec release ia 1092 3
18
cards
Ch 6 IA Practices
Do bds have to disclose conflicts...,
Uniform prudent investor act upia 2,
Soft dollar arrangements 3
3
cards
Ch 7 Prohibited Business Practices USA
Defining fraud 1,
Usa prohibited and unethical prac...,
Selling dividends 3
19
cards
Ch 8 USA Admin
What does administrator have juri...,
Administrator powers and when the...,
How admin enforces usa 3
7
cards
Ch 9 Federal Securities Acts
Exempt securities under securitie...,
Securities act 1933 prospectus re...,
Securities act 1933 exempt transa...
34
cards
Ch 10 Investment Advisory Clients
Sole proprietorship 1,
S corp 2,
C corp 3
49
cards
Ch 11 Equities And Derivatives
Treasury stock 1,
Common vs preferred shares voting...,
3 2 split 3
28
cards
Ch 12 Debt And CEs
Ny vs cy vs ytm vs ytc 1,
Relationship between bond price a...,
Credit ratings and agencies 3
15
cards
Ch 13 Mutual Funds And Insurance
Types of investment companies 1,
Classes of mutual fund shares 2,
Mutual fund distribution types 3
13
cards
Ch 14 Accounting And Economics
Corporate balance sheet 1,
Quick ratio 2,
Eps 3
17
cards
Ch 15 Portfolio Mgmt And Investment Risk
Efficient frontier 1,
Capm 2,
Systematic and unsystematic risks 3
20
cards
Final Exams
Is an s corp or general partnersh...,
Does an s corp have flow through ...,
Are excessively large commissions...
96
cards
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Series 65
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