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Series 7 Top-off Exam flashcards

Series 7- Random Fact Bag

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

By: Rory Betry
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Decks in this class (16)

Unit 1- Types Of Accounts
Define pattern day trader,
Minimum account equity to pattern...,
Two member firm requirements to o...
40  cards
Unit 2- Obtain Necessary Suitability Info And Approvals
What is on a household balance sheet,
What is on the household income s...,
What to do if a client insists on...
12  cards
Unit 3- Equity Securities
3 1 stock split means,
Difference between class a and cl...,
Formula theoretical value of a st...
9  cards
Unit 4- Debt Securities
Where can the terms of a bond be ...,
Define paying agent,
Treasury bill maturity dates
17  cards
Unit 5- Corporate Bonds
Another name for income bonds,
The return on a zero coupon bond,
In a corporate bankruptcy what is...
6  cards
Unit 6- Municipal Bonds
What is a basis quote for a munic...,
Define dollar bond,
Are municipal bonds exchange traded
30  cards
Unit 7- US Treasury And Government Agency Secuities
Treasury note maturity lengths,
T bill maturities and denominations,
How do tips work
17  cards
Unit 8- Investment Companies
What is the 75 5 10 requirement f...,
Which closed end fund does not tr...,
Features of a business developmen...
20  cards
Unit 9- Insurance Company Prodicts
Do variable annuities require a p...,
Do variable annuities have a maxi...,
What is a unit refund option
18  cards
Unit 10- Options
0  cards
Unit 11- Other Packaged Prodicts
What type of organization is a reit,
Are reits redeemable with the trust,
Is a reit a direct participation ...
12  cards
Unit 12- Other Securities Products
Hedge funds are typically organiz...,
What is a 2 and 20 fee structure ...,
Difference between amortizing and...
9  cards
Unit 13- Portfolio Or Account Analysis
Difference between strategic and ...,
What is modern portfolio theory,
Analysis tools used in mpt
45  cards
Unit 14- Risks And Disclosures
0  cards
Unit 15- Handling Customer Accoubts
What is on a customer trade confi...,
When must a trade confirmation be...,
What is required for electronic d...
13  cards
Unit 16- Tupes Of Orders And Quotations
Define not held order,
Order types not allowed on the nyse,
Minimum maintenance in a short ma...
9  cards

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Series 7- Random Fact Bag

  • Class purpose General learning

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