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Tom Brandt
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Decks in this class (14)
Chapter Test Questions
The record date for abc growth fu...,
Which of the following best descr...,
Jack owns 300 shares of cumulativ...
1493
cards
Chapter 1: Equity Securities
The ______ requires prospectus an...,
The ______ created the securities...,
The ______ established self regul...
211
cards
Chapter 2: Issuing - Primary Market
The ______ was designed to provid...,
The ______ is responsible for the...,
The ______ governs new issues of ...
141
cards
Chapter 3: Trading - Secondary Market
There are two types of positions ...,
Investors buy to establish a n __...,
An optimistic investor is called ...
196
cards
Chapter 4: Debt Instruments
A bond is a n ______ consequently...,
The face amount of the bond or it...,
Bonds are called ______ securitie...
332
cards
Chapter 5: Options Contracts
______ are legally binding contra...,
The option holder has the ______ ...,
The buyer of an option is called ...
326
cards
Chapter 6: Customer Accounts
______ is concerned with the rela...,
A customer can buy on ______ and ...,
If the customer is a minor with a...
269
cards
Chapter 7: Investment Companies
A n ______ is an issuer in the bu...,
Investment companies fall into th...,
Investment companies are structur...
350
cards
Chapter 8: Direct Participation Programs
______ are entities that pass all...,
Since the tax reform act of 1986 ...,
When investors own stock they exp...
99
cards
Chapter 9: Insurance Contracts
A n ______ is a contract with an ...,
The person receiving the payments...,
The annuity contract specifies th...
174
cards
Chapter 10: Retirement Plans and Other Tax Advantaged Accounts
______ plans require irs approval...,
______ plans are not allowed to d...,
______ plans may discriminate and...
142
cards
Chapter 11: Analysis
______ looks at company specifics...,
If the fed buys the money supply ...,
If the fed sells the money supply...
208
cards
Chapter 12: Regulations
The ______ is responsible for sup...,
The ______ actually writes the la...,
The ______ governs publicly trade...
363
cards
Key Facts
The rating of a municipal bond ma...,
If a bond sells for less than its...,
A n ______ computes the yield if ...
161
cards
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Series 7 Rep Level
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