This class was created by Brainscape user Jon Oliver. Visit their profile to learn more about the creator.
By:
Jon Oliver
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Decks in this class (24)
Unit 1: Types and Characteristics of Equity Securities
Preferred stock 1,
Nonqualified stock options 2,
Incentive stock options 3
6
cards
Unit 2: Types and Characteristics of Fixed Income Securities
S p investment grade 1,
Moody investment grade 2,
Investment grade liquidity 3
30
cards
Unit 3: Pooled Investments
Open ended fund cannot 1,
Closed end fund characteristics 2,
Loi breakpoint 3
18
cards
Unit 4: Types and Characteristics of Derivatives
Buying a straddle likes 1,
Selling a straddle likes 2,
Preemptive rights 3
12
cards
Unit 5: Alternative Investments and Other Assets
Limited partnership 1,
General partner 2,
Limited partner 3
11
cards
Unit 6: Basic Economic Concepts
Business cycle 1,
Expansion 2,
Peaks 3
28
cards
Unit 7: Financial Reporting
Balance sheet 1,
Owners equity 2,
Current liabilities 3
27
cards
Unit 8: Regulation of Securities and Their Issuers
Uniform securities act 1956 1,
Administrator 2,
Security 3
22
cards
Unit 9: Regulation of Investment Advisers Including State-Registered and Federal Covered Advisers
Person 1,
Investment advisor 2,
Giving advice 3
37
cards
Unit 10: Regulation of Investment Adviser Representatives
Investment advisor representative 1,
Excluded from iar definition 2,
Exempt from iar definition state 3
10
cards
Unit 11: Regulation of Broker-Dealers and Their Agents
Broker dealer 1,
Excluded from definition of broke...,
B d doesn t need state registrati...
25
cards
Unit 12: Remedies and Administrative Provisions
Administrator jurisdiction 1,
Administrator can 2,
Offer to sell 3
20
cards
Unit 13: Communications with Customers and Prospects
Acting as principal agency 1,
If ia is acting as principal 2,
Ia effecting transaction between ...
31
cards
Unit 14: Ethical Practices and Obligations
Fiduciary responsibility 1,
Hedge exculpatory clause 2,
Upia uniform prudent investor act 3
64
cards
Unit 15: Tax Considerations
Marginal tax rate 1,
Two factors determining tax bill 2,
Examples of regressive tax 3
19
cards
Unit 16: Types of Clients
Individual account 1,
Investment policy statement ips 2,
Joint account 3
46
cards
Unit 17: Client Profile
Financial profile 1,
Nonfinancial considerations 2,
Risk tolerance 3
19
cards
Unit 18: Retirement Plans Including ERISA Issues and Educational Funding Programs
Compensation for ira purposes 1,
Not considered compensation for i...,
Economic growth and tax relief re...
74
cards
Unit 19: Types of Investment Risks
Systemic risk 1,
Market risk 2,
Beta 3
18
cards
Unit 20: Analytical Methods
Future value 1,
Present value 2,
The discount factor 3
39
cards
Unit 21: Portfolio Management Styles, Strategies, and Techniques
Stocks asset class 1,
Bonds asset class 2,
Cash asset class 3
38
cards
Unit 22: Performance Measures
Total return 1,
Mutual fund returns 2,
Holding period return 3
25
cards
Unit 23: Trading Securities
Cash account 1,
Margin account 2,
Marginable securities 3
46
cards
Unit 24: Insurance Based Products
Annuity tax deferred earnings 1,
Annuity test purposes 2,
Variable annuities 3
21
cards
More about
Series 65
- Class purpose General learning
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