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Series 65 flashcards

Series 65 (My Own)

This class was created by Brainscape user Sergey Konovalenko. Visit their profile to learn more about the creator.

By: Sergey Konovalenko
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Decks in this class (24)

Unit 1: Regulation of Investment Advisers, Including State-Registered and Federal Covered Advisers
U1lo1 which of the following is i...,
U1lo1 a person giving advice on w...,
U1lo1 which of the following inve...
18  cards
Unit 2: Regulation of Investment Adviser Representatives
U2lo2 which of the following indi...,
U2lo2 under the uniform securitie...,
U2lo2 which of the following indi...
8  cards
UNIT 3: Regulation of Broker-Dealers and their Agents
U3lo2 first securities corporatio...,
U3lo4 under the uniform securitie...,
U3lo5 the city of chicago issues ...
3  cards
UNIT 4: Regulation of Securities and Issuers
0  cards
UNIT 5: Remedies and Administrative Provisions
0  cards
UNIT 6: Communication With Clients and Prospects
0  cards
UNIT 7: Ethical Practices and Fiduciary Obligations
0  cards
UNIT 8: Basic Economic Concepts
0  cards
UNIT 9: Financial Reporting
0  cards
UNIT 10: Analytical Methods
0  cards
UNIT 11: Types of Investment Risk
0  cards
UNIT 12: Types and Characteristics of Equity Securities Including Methods Used to Determine Their Value
0  cards
UNIT 13: Types and Characteristics of Fixed Income (Debt) Securities and Methods Used to Determine Their Value
0  cards
UNIT 14: Types and Characteristics of Pooled Investments
0  cards
UNIT 15: Insurance-Based Products
0  cards
UNIT 16: Types and Characteristics of Derivative Securities
0  cards
UNIT 17: Alternative Investments and Other Assets
0  cards
UNIT 18: Type of Client
0  cards
UNIT 19: Client Profile
0  cards
UNIT 20: Portfolio Management Styles, Strategies, and Techniques
0  cards
UNIT 21: Tax Considerations
0  cards
UNIT 22: Trading Securities
0  cards
UNIT 23: Performance Measures
0  cards
UNIT 24: Retirement Plans Including ERISA Issues and Educational Funding Programs
0  cards

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Series 65 (My Own)

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