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Leo O'Connor
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Decks in this class (24)
Annuities and Variable Products
What is the tax implication of th...,
In an non qualified annuity how i...,
What payout option requires the i...
51
cards
Complex Options Strategies
An investors sells 1 bbo jan 70 c...,
An investor sells 1 abc mar 30 ca...,
An investor buys 1 def may 50 cal...
135
cards
Corporate Debt Securities and Money-Market Instruments
What is a step up long term cd,
Is an income bond appropriate for...,
A bond convertible at 25 is tradi...
38
cards
Customer Accounts--Documentation
True or false sipc provides cover...,
Name some of the different items ...,
When do gifts become the property...
58
cards
Customer Accounts--Objectives and Tax Issues
For a gain to be considered long ...,
Is a gift of 14 000 per person pe...,
If an asset was held for one year...
19
cards
Direct Participation Programs
What program generates no cash fl...,
What benefit will a tax deduction...,
General partners must contribute ...
45
cards
Economics and Suitability Summary
What economic theory emphasizes g...,
Does the frb control monetary or ...,
An owner of utility stocks prefer...
37
cards
Equity Options--Fundamentals and Basic Strategies
Sandra buys 1 abc dec 70 call at ...,
Consider the following stc may 60...,
True or false a 60 put with the m...
74
cards
Equity Trading Markets
If an investor is short stock a b...,
Order is entered to sell 1 000 ab...,
Trading on material non public in...
95
cards
Fundamental and Technical Analysis
Is the dow jones industrial avera...,
How would the issuance of stock a...
47
cards
Fundamentals of Debt Securities
Into what does an issuer periodic...,
When discussing a bond the ytm ma...
61
cards
Fundamentals of Equity Investments
What is the tax consequence for a...,
Existing stockholders receive ___...,
If securities are inherited a ben...
60
cards
Industry Rules
According to finra rules list som...,
What actions may the hearing pane...,
When a minor dispute is handled t...
55
cards
Investment Companies and Other Packaged Products
Identify the acronym pop,
A funds management fee is typical...,
Is a reit a form of direct partic...
65
cards
Margin
A client buys stock on margin and...,
True or false short against the b...,
Upon the purchase of an option re...
75
cards
Municipal Debt Securities--Bond Types and Tax Treatment
What is the net yield for an inve...,
Bonds subject to the amt will tra...,
How does the dutch auction set th...
61
cards
New Issue Marketplace for Equities
A regulation a tier 1 exemption i...,
The highest price at which a stab...,
True or false stabilization is de...
56
cards
Nonequity Options
For most world currency quotes th...,
An investor buys an oex may 475 c...,
What is the primary use of vix op...
32
cards
Options Account Opening Procedures, Taxation, and Trading Markets
Julio bought a 75 call at 5 and l...,
Jean bought an 80 put at 7 and la...,
Jim has owned bnb stock for 9 mon...
49
cards
Overview of Financial Markets and Regulation
Which department of a broker deal...,
What is the primary purpose of th...,
What is finras primary objective
9
cards
Registered Representatives and Financial Firms
A bd must file form u5 with finra...,
Candidates who have failed a qual...,
In the process of opening an acco...
35
cards
Retirement and Education Savings Accounts
True or false a withdrawal of up ...,
True or false required minimum di...,
True or false seps require employ...
58
cards
The Issuance of Municipal Securities and MSRB Rules
The total takedown is made up of ...,
What yield would be disclosed for...,
Is it mandatory for a municipal i...
95
cards
U.S. Government and Agency Debt Securities
A competitive bid placed at a tre...,
_______________ following the tra...,
True or false t bills are quoted ...
38
cards
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Series 7 by Chapter
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