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Series 7 Top-off Exam flashcards

Series 7: Lecture Review

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

By: Coles Romaine
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Decks in this class (20)

Unit 1: Account Types
Sole proprietorship,
Partnership account,
Corporate account
18  cards
Unit 2: Suitability
Reasonable basis,
Quantitative,
Customer specific
5  cards
Unit 3: Equities
Common stock,
Penny stock,
Preferred stock
12  cards
Unit 4: Debt Securities
When interest rates are flat what...,
Equity linked notes elns,
Premium bonds yield ladder
5  cards
Unit 5: Corp. Debt Securities
Convertible bonds,
Conversion price,
Conversion ratio
6  cards
Unit 6: Muni. Debt Securities
Primary objective of muni bonds,
Muni bonds are exempt from which tax,
When are muni bonds tax free at a...
55  cards
Unit 7: Treasury and Gov't Agency Debt
Government agency securities,
Government sponsered enterprises,
T bills
8  cards
Unit 8: Investment Companies
Of fund s investments that must b...,
Most levered and inverse funds reset,
Levered inverse funds
12  cards
Unit 9: Insurance Products
Fixed annuities,
Variable annuities,
Joint life payout
14  cards
Unit 10: Options
Days for customers to sign and re...,
Call intrinsic value,
Put intrinsic value
25  cards
Unit 11: Other Packaged Products
Reit,
Dpp,
Dpp
14  cards
Unit 12: Other Securities
Asset backed securities abs,
Cmo interest paid,
Cmo principal paid
6  cards
Unit 13: Portfolio Analysis
Asset allocation,
Diversification,
Modern portfolio theory
19  cards
Unit 14: Types of Rick & Required Disclosures
Penny stock risk disclosure document,
Prior to penny stock solicited tr...,
Establish customer for penny stocks
4  cards
Unit 15: Handling Customer Accounts
Reg s p,
Reg s p privacy notice given to t...,
Acats timeline
7  cards
Unit 16: Types of Orders and Margin
Buy stop,
Buy limit,
Sell limit
28  cards
Unit 17: Processing Transactions
Equity trades report when,
Debt trades report when,
Order ticket memorandum
9  cards
Unit 18: Complaint Resolution
Finra potential penalties,
Finra appeal process,
Arbitration
4  cards
Unit 19: Communication with the Public
Retail,
Correspondence,
Institutional
5  cards
Unit 20: New Issues & Exemptions
What security is related to prosp...,
What security is related to summa...,
What security is related to offic...
17  cards

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Series 7: Lecture Review

  • Class purpose General learning

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