- decks
- flashcards
- learners
Decks in this class (24)
1. Equity Securities
Preferred stock vs common stock 1,
Preferred stock characteristis 2,
Straight preferred 3
14
cards
2. Fixed Income (Debt) Securities
Taxable equivalent yield formula 1,
Yield ladder 2,
Eurodollar bond 3
7
cards
3. Pooled Investments
Breakpoint 1,
Mutual fund class a b and c share...,
Nav 3
11
cards
4. Derivative Securities
Rights vs warrants 1,
Straddles 2,
Rights 3
5
cards
5. Alternative Investments
Maximum amount of bitcoin ever in...,
Leveraged etfs 2
2
cards
6. Basic Economic Concepts
Monetarist economic position 1,
Inertial inflation 2,
Fed operations 3
7
cards
7. Financial Reporting
Capital structure 1,
Balance sheet vs financial statem...,
Forms 10k 10q and 8k 3
3
cards
8. Regulation of Securities
Exempt securities 1,
State registration exemption 2,
Red herring vs final prospectus 3
3
cards
9. Regulation Of Investment Advisors
Exclusions for ia state and feder...,
Investment advisors exempt from r...,
Wrap fee program 3
32
cards
10. Regulation of Investment Advisor Representatives
5 ways individual meets definitio...
1
cards
11. Regulation of Broker Dealers
Automatic registration under usa 1
1
cards
12. Remedies And Administrative Provisions
4 powers of administrator 1
1
cards
13. Communications with Customers and Prospects
Usa vs federal law 1,
Broker dealer model fee disclosure 2,
Marketing rule de minimus amount 3
5
cards
14. Ethical Practices and Obligations
3 business day rule 1,
Investment advisers act of 1940 m...,
Discretionary authority 3
6
cards
15. Tax Considerations
0
cards
16. Types of Clients
Gross estate vs taxable estate 1,
Nav vs pop 2,
Occ options disclosure document d...
4
cards
17. Client Profile
0
cards
18. Retirement Plans
Never covered by erisa 1,
Payroll deduction plan 2,
Keogh plan contribution requireme...
4
cards
19. Investment Risks
Systematic risk 1,
Interest rate sensitive securities 2
2
cards
20. Analytical Methods
Bond duration vs price volatility 1,
Alpha 2
2
cards
21. Portfolio Management Styles
Capm assumptions 1,
Dollar cost avg avg cost per shar...,
Expected return 3
3
cards
22. Performance Measures
Sharpe ratio 1
1
cards
23. Trading Securities
Regulation t call 1,
Margin call 2,
Minimum maintenance 3
6
cards
24. Insurance Based Products
M e charge 1
1
cards
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Series 65
- Full test name Unspecified
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Looking for something else?
Series 65
- 6 decks
- 895 flashcards
- 2,531 learners
Decks:
1 Usa Broker Dealers Agents, 2 Investment Advisers Ethics, 3 Equity Fixed Income, And more!
