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Patrick H
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Decks in this class (22)
Unit 17 (3)
What do you buy for max return if...,
What is the philosophy behind flo...,
Who carries the credit risk for a...
8
cards
Unit 19 (6)
John and jane doe have a net wort...,
Among investors objectives is pre...,
Study of why people often make de...
16
cards
Unit 18 (5)
Customer just died wife asks you ...,
S corp,
A living will is used to
66
cards
Unit 11 (1)
What type of investment would hav...
1
cards
Unit 10 (4)
Which of the following would have...,
Working capital,
Rule of 72
38
cards
Unit 7 (14)
When is the use of a hedge clause...,
What is the max prison sentence f...,
Fiduciaries should act how
93
cards
Unit 6 (11)
An investment advisory contract i...,
Is there anything wrong with an i...,
An ia plans to sell securities ou...
41
cards
Unit 5 (2)
Can you withdraw registration onc...,
After an investigation the admini...,
Can the administrator deny regist...
18
cards
Unit 4 (2)
The usa permits amendments to a r...,
When registering a security under...,
If the commons stock is a federal...
40
cards
Unit 3 (4)
A bd registered in multiple state...,
If you re a broker dealer with no...,
Is a trust company with an office...
9
cards
Unit 2 (5)
If you want to register in a stat...,
Which type of advisor has to noti...,
If an iar of a federal covered ad...
7
cards
Unit 23 (3)
Current return current yield,
Yield to maturity,
Total return
43
cards
Unit 22 (2)
When are margin agreements signed,
What are the mandatory forms when...,
When must the risk disclosure doc...
45
cards
Unit 21 (2)
What is included in distributable...,
What is not included in dni of a ...,
What type of trust distributes al...
43
cards
Unit 24 (5)
Similarities between iras and keo...,
Who can open an ira,
Can you roll a qualified employer...
177
cards
Unit 1 (7)
You are an investment advisor if you,
You dont supervise if you,
Your have a client that is an inv...
46
cards
Unit 20 (7)
An analyst who recommends allocat...,
Monte carlo advantages,
Rebalancing
111
cards
Unit 12 (3)
What is a loan and what is ownership,
What of the following is least im...,
Simplest method for evaluating eq...
8
cards
Unit 13 (5)
What is a bond priced at 102 1 4 ...,
What is the discount rate,
When is the best time to buy long...
37
cards
Unit 14 (5)
Is a holding company included in ...,
How much of the board of an inves...,
What is the max amount of interes...
39
cards
Unit 15 (3)
What type of account does a fixed...,
Where do premiums go for whole li...,
How much does a 100k term insuran...
93
cards
Unit 16 (1)
What price is a warrant offered at,
What would you write covered call...,
How does the sweetener effect the...
11
cards
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Series 66
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