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Decks in this class (11)
Unit 3 - Client Recommendations & Investment Strategies
Ease of formation of business ent...,
Liability of business entities 2,
Taxes of business entities 3
64
cards
Broker / Dealer Acts and Regulations
Broker dealer definition 1,
Broker dealer must register if 2,
Broker dealer does not register if 3
6
cards
Agents Acts and Regulations
Agents definition 1,
Agents must register if 2,
Agents do not register if 3
5
cards
Investment Advisers (IA) Acts and Regulations
Investment advisers ia definition 1,
Investment advisers must register...,
Investment advisers do not regist...
7
cards
Investment Adviser Representative Acts and Regulations (IAR)
Investment adviser representative...,
Investment adviser representative...,
Investment adviser representative...
4
cards
Registration requirements (Under U.S.A)
Broker dealer s ia s net capital ...,
Broker dealer s ia s surety bond ...,
Broker dealer s ia s successor fi...
10
cards
Types of Pooled Investments
Open end investment companies mut...,
Open end investment companies mut...,
Open end investment companies mut...
8
cards
Financial Reporting
Balance sheets ratios 1,
Balance sheets ratios 2,
Financial reports 8k 3
5
cards
Derivatives
Options definition 1,
Buy long calls 2,
Buy long puts 3
11
cards
Insurance-Based Products
Fixed annuities 1,
Variable annuity 2,
Index based annuity 3
16
cards
Portfolio Styles
Strategic asset allocation 1,
Tactical asset allocation 2,
Buy and hold 3
6
cards
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Series 65 - Test Geek Notes
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Series 65
- 6 decks
- 895 flashcards
- 2,528 learners
Decks:
1 Usa Broker Dealers Agents, 2 Investment Advisers Ethics, 3 Equity Fixed Income, And more!
