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Series 7 Top-off Exam flashcards

Series 7

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

By: Arielle Fernandez
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Decks in this class (12)

Unit 14-15
Structuring,
Failure to report paying for purc...,
Broker dealers are required to re...
52  cards
Unit 13
When are gift taxes due,
How much is the annual gift tax e...,
Either stepped up or down to it s...
93  cards
Unit 12
Pooling assets such as auto loans...,
How is interest from cmos taxes,
1 receives no payment until all p...
17  cards
Unit 11
1 a company that sells stock with...,
A transaction involving the combi...,
The money received by a business ...
44  cards
Unit 10
The point at which gains equal lo...,
A us dollar settled option securi...,
A security representing the right...
44  cards
Unit 9
To change an annuity contract fro...,
An accounting method used to asse...,
An annuity payout option that gua...
20  cards
Unit 16
1 the simultaneous purchase sale ...,
During a market halt investors ca...,
A level 1 or 2 halt cannot occur ...
98  cards
Unit 17
What are the two types of bond de...,
Occurs when a buyer after accepti...,
A situation in which the bd on th...
31  cards
Unit 18
When must an appeal be made by,
Sanctions can include,
Finras formal method of handling ...
34  cards
Unit 8
An investment company that contin...,
An investment company either open...,
An investment company that sells ...
60  cards
Unit 7
1 interest on corporate bonds is2...,
National network of lending insti...,
Risk that underlying mortgages wi...
19  cards
Unit 6
A debt security issues by a munic...,
An attorney retained by a municip...,
A short term municipal or governm...
49  cards

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Series 7

  • Class purpose General learning

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