This class was created by Brainscape user Michelle Pace. Visit their profile to learn more about the creator.
By:
Michelle Pace
- decks
- flashcards
- learners
Decks in this class (16)
Ch 1 Laws & Regs Overview
Exempt security,
Who governs federal registration ...,
Who is a person
16
cards
Ch 2 State Reg Of Securities
Security,
Registration by filing notification,
Methods of state registration
18
cards
Ch 3 State Reg Of BDs
T,
What are finders and must they re...,
Do issuers banks savings institut...
22
cards
Ch 4 State Regs Of IAs
T,
Who is excluded and exempt from s...,
Federal covered advisors under nsmia
22
cards
Ch 5 Fed Reg Of IAs
T,
When does an ia need to withdraw ...,
Sec release ia 1092
18
cards
Ch 6 IA Practices
T,
Uniform prudent investor act upia,
Soft dollar arrangements
3
cards
Ch 7 Prohibited Business Practices USA
T,
Usa prohibited and unethical prac...,
Selling dividends
19
cards
Ch 8 USA Admin
T,
Administrator powers and when the...,
How admin enforces usa
7
cards
Ch 9 Federal Securities Acts
T,
Securities act 1933 prospectus re...,
Securities act 1933 exempt transa...
34
cards
Ch 10 Investment Advisory Clients
T,
S corp,
C corp
49
cards
Ch 11 Equities And Derivatives
T,
Common shares voting rights,
3 2 split
28
cards
Ch 12 Debt And CEs
T,
Relationship between bond price a...,
Credit ratings and agencies
15
cards
Ch 13 Mutual Funds And Insurance
T,
Classes of mutual fund shares,
Mutual fund distribution types
13
cards
Ch 14 Accounting And Economics
T,
Quick ratio,
Eps
17
cards
Ch 15 Portfolio Mgmt And Investment Risk
T,
Capm,
Systematic and unsystematic risks
20
cards
Final Exams
Is an s corp or general partnersh...,
Does an s corp have flow through ...,
Are excessively large commissions...
96
cards
More about
Series 65
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Michelle Pace's Series 65 flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Series 65
- 6 decks
- 895 flashcards
- 1,986 learners
Decks:
1 Usa Broker Dealers Agents, 2 Investment Advisers Ethics, 3 Equity Fixed Income, And more!
Series 65
- 6 decks
- 880 flashcards
- 2 learners
Decks:
Usa Broker Dealers And Agents, Investment Advisers Ethics, Equity Fixed Income, And more!
