This class was created by Brainscape user Jon Oliver. Visit their profile to learn more about the creator.
By:
Jon Oliver
- decks
- flashcards
- learners
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
More about
Series 65
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study Jon Oliver'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
- 7 decks
- 392 flashcards
- 3 learners
Decks:
Chapter 1 Equity Securities, Chapter 2 Corporate And Municipal Debt S, Chapter 3 Government And Government Agen, And more!
