This class was created by Brainscape user Ryan Lorei. Visit their profile to learn more about the creator.
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Ryan Lorei
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Decks in this class (10)
PART I: Chapter 3 - Investment Vehicles
What do investment companies offe...,
Who regulates investment companies 2,
What requires investment companie...
40
cards
PART I: Chapter 4 - Economics
What defines a recession 1,
What defines a recovery 2,
What is a depression 3
29
cards
PART II: Chapter 1 - The Uniform Securities Act
What law and organization regulat...,
What are the two types of investm...,
For broker dealers and investment...
40
cards
Part II: Chapter 2 - The Uniform Securities Act
Broker dealers and agents registe...,
Broker dealers register with ____...,
When registering what two things ...
57
cards
Part 2: Chapter 3 - Administration & Fraudulent Acts
Define fraud 1,
What persons dealing with securit...,
Fraud is like to have occured if 3
40
cards
Part 2: Chapter 4 - NASAA Statements of Policy and Model Rules
What does nasaa stand for 1,
What do nasaas five model rules f...,
What are three considerations to ...
48
cards
Part 2: Chapter 5 - The Uniform Prudent Investor Act
Under the uniform prudent investo...,
Under the uniform prudent investo...,
Can a trustee invest in any kind ...
31
cards
Part 2: Chapter 6 - Federal Acts
What are the four federal acts th...,
What are the two main things the ...,
What does the securites exchange ...
90
cards
Part 2: Chapter 7 - Investment Vehicles
Common and preferred stock are co...,
Which of the following characteri...,
How are dividends treated with re...
101
cards
Part 2: Chapter 8 - Investment Recommendations
What five factors must an ia cons...,
What are the two types of client ...,
On joint accounts what is require...
50
cards
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Series 65
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