This class was created by Brainscape user Garin Rydalch. Visit their profile to learn more about the creator.
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Garin Rydalch
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Decks in this class (16)
Chapter 1 - Securities
What is the accounting equation,
What is the equation for net worth,
What is authorized stock
25
cards
Chapter 2 - Corporate Bonds
Why would a company issue bonds,
Who are some of issuers of debt,
Explain term serial balloon matur...
46
cards
Chapter 3 - Municipal Bonds
What are muni bonds what are they...,
Who can issue muni s what are the...,
What are the two types of muni s ...
48
cards
Chapter 4 - Options
What is an options contract,
What are the two styles of option...,
When buying options on stock how ...
56
cards
Chapter 5 - Customer Accounts
What are some items on the naf,
T or f unmarked ticket orders are...,
If a customer calls in and update...
16
cards
Chapter 6 - Margin
What is margin and what does it a...,
With margin what are the advantag...,
What are some of the components o...
25
cards
Chapter 7 - Issuing Securities
0
cards
Chapter 8 - Trading
0
cards
Chapter 9 - Brokerage Services
0
cards
Chapter 10 - Investment Products
What is an investment company,
What is a face amount certificate...,
What is a unit investment trust
50
cards
Chapter 11 - Retirement Plans
What is the major difference betw...,
What is nonqualified deferred com...,
What is a payroll deduction plan
23
cards
Chapter 12 - Variable Annuities
What is an annuity,
What is a key difference between ...,
What is a combination annuity
19
cards
Chapter 13 - Direct Participation Programs
What are some characteristics of ...,
True or false all income and loss...,
For partnerships which characteri...
23
cards
Chapter 14 - Economics and Analysis
What are the four stages of the b...,
What is gdp,
True of false a constant dollar a...
30
cards
Chapter 15 - Ethics, Reco's, Taxation
What are conduct rules,
Who at the branch is responsible ...,
T or f b d may have house rules t...
29
cards
Chapter 16 - Rules and Regulations
Explain the securities act of 1933,
Explain the securities act of 1934,
What are three keywords to associ...
14
cards
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Series 7
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