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ray Offenburger
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Decks in this class (25)
Chapter 1
The securities act of 1933 regula...,
What is the primary purpose of th...,
The securities exchange act of 19...
9
cards
Chapter 2
When must rrs complete the regula...,
True or false firm element contin...,
To apply for a securities license...
35
cards
Chapter 3
What is some of the important inf...,
What is not pertinent when openin...,
If a client refuses to provide ce...
19
cards
Chapter 4
True or false clients need not si...,
True or false only one person mus...,
Who may enter orders in a joint a...
58
cards
Chapter 5
____________ stock is stock that ...,
True or false treasury stock has ...,
Issued stock treasury stock _____...
59
cards
Chapter 6
True or false the sec judges an o...,
List the securities that are exem...,
Though some securities are exempt...
50
cards
Chapter 7
Define an insider,
Name two prohibitions related to ...,
Insiders must return short swing ...
90
cards
Chapter 8
Bondholders are also referred to ...,
______ is the par value for bonds,
Calculate the price of a corporat...
57
cards
Chapter 9
What is the proper order of liqui...,
The type of bond where bondholder...,
What are some examples of rolling...
38
cards
Chapter 10
T bills are issued in maturities ...,
The minimum face value of a t bil...,
True or false t bills are quoted ...
38
cards
Chapter 11
General obligation go bonds are b...,
By what types of taxes are state ...,
Local general obligation bonds ar...
61
cards
Chapter 12
True or false term bonds are quot...,
Serial bonds are quoted on a ____...,
True or false mbia fgic and ambac...
104
cards
Chapter 13
With options what terms are synon...,
A call option gives the owner the...,
With options what terms are synon...
74
cards
Chapter 14
If an investor is short a call ho...,
If an investor is short a put how...,
Identify the position an investor...
135
cards
Chapter 15
A _______ based index measures th...,
A _______ based index measures th...,
What are two uses of index options
35
cards
Chapter 16
At what time do equity options st...,
By what time must equity options ...,
What are the specifics regarding ...
49
cards
Options
Sandra buys 1 abc dec 70 call at ...,
Sandra buys 1 abc dec 70 call at ...,
Buy 1 abc dec 70 call at 4 when a...
130
cards
chapter 17
Name some of the different types ...,
A limited partnership could be fo...,
What are the two types of partner...
45
cards
chapter 18
What are three distinct advantage...,
Investment companies must send fi...,
What amount of an investment comp...
65
cards
chapter 19
Who is eligible to contribute to ...,
What is the penalty for making ex...,
True or false excess contribution...
55
cards
Chapter 20
The annuity with growth dependent...,
Which type of annuity is consider...,
What two types of securities regi...
51
cards
chapter 21
What does regulation sho regulate,
The _________________________ reg...,
In order to sell short regulation...
75
cards
chapter 22
May an rr and a client share in a...,
True or false the findings of an ...,
Churning is described as ________...
55
cards
chapter 23
______ is the measure of an asset...,
What is the beta of the market s ...,
If an asset outperforms the marke...
43
cards
Chapter 24
Does the frb control monetary or ...,
What elements are influenced when...,
True or false government interven...
35
cards
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Series 7
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