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Jeff Toone
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Decks in this class (21)
Ch 1 Laws, Regulations and Guidelines Overview
How is a firm acting if it effect...,
According to the usa who is inclu...,
What is the general definition of...
33
cards
Ch 2 State Registration of Securities
Is a private placement considered...,
What type s of transaction s are ...,
Is a preorganization certificate ...
60
cards
Ch 2 State Registration of Securities Part II
If a nasdaq stock trades in the s...,
What criteria must be met for com...,
Accepting orders for unregistered...
58
cards
Ch 3 State Regulations Governing Broker-Dealers and Agents
The usa refers to an individual w...,
A client of a canadian bd is visi...,
Is there a limit to the amount of...
70
cards
Ch 4 State Regulations Governing Investment Advisers and IA Representatives
True or false an agent of a bd wh...,
In lieu of an ia prepared brochur...,
An individual employed by an ia t...
65
cards
Ch 4 State Regulations Governing Investment Advisers and IA Representatives Part II
What is required of an ia if ther...,
Part 2 of form adv may be used as...,
True or false the manager of an i...
60
cards
Ch 5 Federal Regulations Governing Investment Advisers
Define assignment as it relates t...,
What must a federal covered advis...,
Due to sec release 1092 what othe...
75
cards
Ch 6 Investment Advisory Practices
True or false an agent must alway...,
Define wrap account,
What is soft dollar compensation
27
cards
Ch 7 Prohibited and Ethical Business Practices Under the USA
What are the two reports that an ...,
An ia that is also a bd may execu...,
When does a durable power of atto...
50
cards
Ch 7 Prohibited and Ethical Business Practices Under the USA Part II
A firm promises a refund to all c...,
True or false charging an unreaso...,
Define commingling
49
cards
Ch 8 Administration of the USA
An _______ is any attempt or soli...,
If shares of stock are freely giv...,
May the administrator levy fines ...
37
cards
Ch 8 Administration of the USA Part II
Statute of limitations for usa ci...,
True or false the administrator m...,
Is the payment of a stock dividen...
38
cards
Ch 9 Federal Securities Acts
Is shareholder approval required ...,
When must a mutual fund prospectu...,
Identify the acronym sro
56
cards
Ch 10 Investment Advisory Clients
For employers offering sep plans ...,
Which plans impose income limitat...,
How often may an individual roll ...
70
cards
Ch 10 Investment Advisory Clients Part II
What business structure does not ...,
Identify the acronym ugma utma,
True or false a gift made to an u...
74
cards
Ch 11 Investment Vehicles
True or false a section 3 c 7 hed...,
Who assumes the investment risk i...,
An investor writes 1 def may 55 c...
68
cards
Ch 11 Investment Vehicles Part II
Describe variable life insurance,
True or false forward contracts a...,
May loans be taken against variab...
64
cards
Ch 12 Portfolio Management and Investment Risk
Identify the range from the follo...,
A 20 year us treasury zero coupon...,
What is the risk that certain cir...
58
cards
Ch 12 Portfolio Management and Investment Risk Part II
If an adviser attempts to exceed ...,
True or false with a buy and hold...,
True or false systematic risk may...
58
cards
Ch 12 Portfolio Management and Investment Risk Part III
True or false tactical asset allo...,
True or false diversification is ...,
Describe a growth investor
58
cards
Ch 12 Portfolio Management and Investment Risk Part IV
Define reinvestment risk,
What is the formula for determini...,
Define negative financial leverage
59
cards
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