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Decks in this class (24)

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

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Series 65

  • Class purpose General learning

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