This class was created by Brainscape user Coles Romaine. Visit their profile to learn more about the creator.
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Coles Romaine
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Decks in this class (20)
Unit 1 Types of Accounts
When a customer opens a new accou...,
To open a numbered account the cu...,
Jtwros accounts offer equal undiv...
11
cards
Unit 2 Suitability Information and Approvals
For unsolicited orders rr needs t...,
To open a corp account the rep re...,
Form crs is reqired when
4
cards
Unit 3 Equity Securities
Preferred stock prices move _____...,
Cumulative preferred stock,
Par value of preferred stock
7
cards
Unit 4 Debt Securities
Premium callable bonds are quoted...,
Discount callable bonds are quote...,
Exchangetrade note etn
6
cards
Unit 5 Corporate Bonds
A capital appreciation bond is a ...,
In stable interest rates environm...,
Conversion value
5
cards
Unit 6 Municipal Bonds
An investor subject to amt should...,
The bond counsel validates,
A ________ legal opinion is prefe...
27
cards
Unit 7 US Treasury and Government Agency Securities
Treasury securities are entered i...,
T note speads,
Interest paid on agency securitie...
4
cards
Unit 8 Investment Companies
All etfs even those invested in b...,
Commission are paid on what type ...,
Uits
12
cards
Unit 9 Insurance Company Products
Combination annuity,
Surrendering annuity before 595 r...,
Guarantees or ratings of variable...
4
cards
Unit 10 Options
Options timeline,
Options expire on the __________ ...,
Uncovered call writing needs
15
cards
Unit 11 Other Packaged Products
What document accepts the limited...,
Least risky oil and gas partnership,
Riskiest oil and gas lp
8
cards
Unit 12 Other Securities Products
Cmo tranche with lowest level of ...,
Agency cmos have a _______ credit...,
Volatility linked etps
3
cards
Unit 13 Portfolio or Account Analysis for Security Selection
Low beta stocks,
High beta stocks,
Capm
14
cards
Unit 14 Types of Rick and Required Disclosures
Stocks affected by changing inter...,
Tender offers must remain outstan...,
If investor expects yield curve t...
4
cards
Unit 15 Handling Customer Accounts
Acat timeline
1
cards
Unit 16 Types of Orders and Quotations
Delivery versus payment dvp,
Before opening a margin account a...,
Interest in a margin account is b...
17
cards
Unit 17 Procession Transactions
Gray market trade
1
cards
Unit 18 Complaint Resolution
Customer complaints are maintaine...,
Customer account records are main...,
A customer may initiate a resolut...
4
cards
Unit 19 Communications with the Public
Retail communication,
Sales script is considered,
New firms less than 1 year need t...
11
cards
Unit 20 The New Issues Market
Max duration of a shelf registration,
Free writing prospectus fwp,
Trust indenture act of 1939
17
cards
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Series 7 Key Concepts
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