This class was created by Brainscape user Arielle Fernandez. Visit their profile to learn more about the creator.
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Decks in this class (31)
Unit 1
An intangible financial asset tha...,
Who provided us a legal test for ...,
Is bitcoin a security
76
cards
Unit 1 Quiz Deck
A common stockholder s voting rig...,
Voting rights are a privilege gen...,
An investor having no affiliation...
21
cards
Unit 3
What is a contract that derives i...,
What are the two parties that con...,
Derivatives are most often used f...
162
cards
Unit 2
0
cards
Unit 3 Quiz Deck
If par value of the bond is 1 000...,
A client has established a long p...,
An investor who buys and sells op...
15
cards
Unit 2 Quiz Deck
When selling a bond the issuer is...,
T bills are delivered ina bearer ...,
An investor anticipates that a fa...
20
cards
Unit 4 - Packaging Investments
These are portfolios that are mad...,
This is a corporation or trust th...,
Investment companies invest the m...
157
cards
Unit 5 Other Investment Vehicles
This is a specific type of educat...,
You can only contribution to a 52...,
A 529 plan is a ___ ____ security
146
cards
Unit 4 Quiz Deck
Which of the following investment...,
Which of the following prospectus...,
A diversified growth fund chargin...
10
cards
Unit 6 - Type of Risk
The great the risk the great the,
What are the two categories withi...,
This is the risk that changes in ...
46
cards
Unit 5 Quiz Deck
0
cards
Unit 7 - The Securities Act of 1933 and the Primary Markets
This is where securities are sold...,
In a primary market the ____ of t...,
This is where securities trade be...
130
cards
Unit 6 Quiz Deck
Prepayment risk is associated wit...,
Gnmas are mortgage back securitie...,
All investors and investments are...
15
cards
Unit 7 Quiz Deck
For nonexempt securities being of...,
Rules regarding restricted person...,
Capital markets can be characteri...
40
cards
Unit 8 - Securities Exchange Act of 1934 and the Secondary Market
The trading of securities in the ...,
This has the authority to regulat...,
This operates as auction markets ...
103
cards
Unit 8 Quiz Deck
An institutional investor selects...,
Which of the following would be a...,
A clearing corporation agent or d...
20
cards
Unit 9 - The Government Regulators
This act was created under the se...,
What is a bd subject to if they d...,
This act is concerned with second...
43
cards
Unit 9 Quiz Deck
The sec can do all of the followi...,
Sipc coverage is best described b...,
A customer has multiple accounts ...
20
cards
Unit 10 - The Self-Regulatory Organizations
What is the purpose of self regul...,
This regulates all matters relate...,
These are the objectives of what ...
24
cards
Unit 11 - Economic Indicators
This is the study of supply and d...,
When people want to buy an item t...,
When people do not want to buy an...
27
cards
Unit 11 Quiz Deck
Several months of slow economic g...,
Economic reports show that there ...,
Which of the following is a leadi...
10
cards
Unit 12 - The Business Cycle
Economics break the expansions ph...,
What are the four phases a busine...,
The following characteristics are...
9
cards
Unit 12 Quiz Deck
Which of the following are charac...,
Economists refer to longer more s...,
According to the us commerce depa...
20
cards
Unit 13 - The Federal Reserve
This is the central bank of the u...,
What are the most common function...,
The frb manages
32
cards
Unit 13 Quiz Deck
The best characterization of how ...,
To contract the overall economy t...,
Which of the following is the rat...
46
cards
Unit 14 - Fiscal Policy and Trade
What are the two distinctive poli...,
This is what the frb engages in w...,
This refers to the governments bu...
40
cards
Unit 14 Quiz Deck
The federal government could use ...,
To grow or expand the economy us ...,
The largest component of the us b...
35
cards
Unit 15 - Industries and Companies
This is the study of industries a...,
Fundamental analysis is also called,
This industry is highly sensitive...
43
cards
Unit 15 Quiz Deck
All the following are cyclical in...,
Those industries that are least a...,
A company s net worth belongs to ...
25
cards
Midterm Quiz
Rank the following government iss...,
A final prospectus must include c...,
Which of the following funds woul...
45
cards
Midterm Quiz 2
Money market instruments are typi...,
A broker dealer has engaged in a ...,
Which of the following statements...
20
cards
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