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Griffin Horne
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Decks in this class (22)
Chapter 1- Federal Securities Regulations-5 Questions
Securities act of 1933 paper act ...,
Definitions begin 1 security 2 is...,
4 person 5 prospectus 6 sale
77
cards
Chapter 2 Sections 1-6- state Regulation under The uniform securities Act- 23 questions
Uniform securities act of 1956,
North american securities adminis...,
Administrator
54
cards
Chapter 2 Continued
Three methods of registering in s...,
Notice filing,
Registration by coordination
43
cards
Chapter 3 17 Qs Federal And State Regulation Of Investment Advisers And Their Reps
Investment advisers act of 1940,
Broker dealer,
Fiduciary person
64
cards
Chapter 3 Part 2
Principal or agency transactions ...,
Advertising under the usa and sec,
Unlawful advertisements
32
cards
Chapter 4 (3Qs)- Type And Characteristic Of Equity Securities
Stockholders equities,
Preferred stock,
Common stock returns
18
cards
Chapter 5- 5Qs Types And Characteristics Of Fixed Income
Three major issuers of debt,
Treasury bills,
Us treasury notes
26
cards
Chapter 6- 1Q Types And Characteristic Of Cash And Cash Equivalants
Money market,
Negotiable cds,
Commercial paper
5
cards
Chapter 7- 5Qs Pooled Investments
Investment company types,
Nav,
Closed end investment company
15
cards
Chapter 8 3Qs insurance based products
Annuity,
Variable annuities,
Combination annuity
16
cards
Chapter 9 (1 Q) Types and Characteristics of Derivative Securities
Opening an options account,
Options,
American vs european style options
7
cards
Chapter 10 (1Q)- Alternative Investments
Hedge funds,
Direct participation programs,
Investment real estate lp
5
cards
Chapter 11 (1Q) Basic Economics
Economics,
Business cycles,
Cyclical industries
15
cards
Chapter 12- (3Qs) Methods of Quantitative Analysis
Time value of money,
Future value,
Present value
15
cards
Chapter 17- (2Qs) Tax Considerations
Regressive vs progressive taxes,
Alimony,
Child support
33
cards
Chapter 18- (2Qs) Trading Securities
Cash accounts,
Margin accounts,
Margin call
15
cards
Chapter 19- (3Qs) Performance Measures
Current yirled vs yield to maturity,
Total return,
Holding period return
18
cards
Chapter 20- (5Qs) Retirement Plans And Educational Funding
Individual retirement arrangement...,
Simplified employee pensions sep,
Withdrawals from traditional iras...
33
cards
Chapter 13- (1Q) Types of Investment Risk
Systematic risk,
Market risk,
Interest rate risk
17
cards
Chapter 14- (5Q) Type of Client
New account agreements,
Individual accounts,
Joint accounts rules
18
cards
Chapter 15- (6Qs) Client Profile
Financial profile,
3 factors to consider for investm...,
Preservation of capital
10
cards
Chapter 16- (7Qs) Portfolio Management Styles, Strategies and Techniques
Asset allocation,
Strategic asset allocation,
Constant dollar
18
cards
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Series 66 Self Study
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