This class was created by Brainscape user Megan Meek. Visit their profile to learn more about the creator.
By:
Megan Meek
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Decks in this class (15)
Unit 1
New issues are regulated under __...,
A broker dealer acting as an agent 2,
A broker dealer acting as a princ...
4
cards
Unit 2
Are commodities securities 1,
Are adrs securities 2,
Are endowments securities 3
21
cards
Unit 3
An order ticket must show 1,
If information in an adviser s br...,
When an agent ends his employment...
14
cards
Unit 4
If an adviser inadvertently recei...,
Under the investment advisers act...,
According to the investment advis...
8
cards
Unit 5
Under the investment advisers act...,
What is a qualified client 2,
______________________ are exempt...
4
cards
Unit 6
Nasaa s statement of policy on un...,
Is receiving a list of investors ...
2
cards
Unit 7
For agency cross trades to be exe...,
According to the investment advis...,
For ipos of securities that will ...
11
cards
Unit 8
Any person who willfully violates...,
If an agent unknowingly without f...,
True or false the administrator m...
9
cards
Unit 9
When can an issuer use an omittin...,
Form 10k 2,
What can be used to estimate a co...
22
cards
Unit 10
The trustee is responsible for re...,
Which type of joint ownership pro...,
How is a person s marginal tax br...
47
cards
Unit 11
A security that pays a fixed amou...,
The terms of a _________ contract...,
The pricing of preferred stock wi...
20
cards
Unit 12
The yield curve often inverts whe...,
When a mutual fund share is redee...,
Which security is sold with a mar...
12
cards
Unit 13
The major disadvantage to a limit...,
When a mutual fund distributes a ...,
A private equity fund manager is ...
22
cards
Unit 14
Fill in the blanks with low or hi...,
New claims for unemployment insur...,
Debt to equity ratio 3
25
cards
Unit 15
A capital needs assessment analyz...,
The contrarian style of investing...,
Taxable equivalent yield for a ta...
38
cards
More about
Series 65
- Class purpose General learning
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