This class was created by Brainscape user Amanda Mae. Visit their profile to learn more about the creator.
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Amanda Mae
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Decks in this class (21)
Unit 1
What is a security 1,
What is the securities and exchan...,
What is a broker dealer 3
10
cards
Unit 2
What is a common stock 1,
What are the rights of common sha...,
What is preferred stock 3
10
cards
Unit 3
What is a market order 1,
What is a limit order 2,
What is a stop order 3
10
cards
Unit 4
What is a cash account 1,
What is a margin account 2,
What is a discretionary account 3
10
cards
Unit 5
What is the primary market 1,
What is the secondary market 2,
What is an issuer 3
10
cards
Unit 6
What is systematic risk 1,
What is unsystematic risk 2,
What is market risk 3
10
cards
Unit 7
What is a mutual fund 1,
What is a nav net asset value 2,
When are mutual fund shares priced 3
10
cards
Unit 8
What is the sec 1,
What is finra 2,
What is a sro 3
10
cards
Unit 9
What is retail communication 1,
What is correspondence 2,
What is institutional communicati...
10
cards
Unit 10
What information is required to o...,
What is cip customer identificati...,
What is regulation s p 3
10
cards
Unit 11
What is money laundering 1,
What are the three stages of mone...,
What is placement in money launde...
10
cards
Unit 12
What is a cash account 1,
What is a margin account 2,
What is regulation t 3
10
cards
Unit 13
What is regular way settlement fo...,
What is regular way settlement fo...,
What is same day settlement cash ...
10
cards
Unit 14
What is gross domestic product gdp 1,
What is inflation 2,
What is deflation 3
10
cards
Unit 15
What is total return 1,
What is current yield 2,
What is capital gain 3
10
cards
Unit 16
What is market risk 1,
What is credit risk 2,
What is interest rate risk 3
10
cards
Unit 17
What is a trade confirmation 1,
What is regular way settlement 2,
What is cash settlement 3
10
cards
Unit 18
What is insider trading 1,
What is front running 2,
What is churning 3
10
cards
Unit 19
What is form u4 1,
What is form u5 2,
How long does a firm have to file...
10
cards
Extra Flash Cards
Which debt securities mature in o...,
Do fnma and gnma bonds typically ...,
What is the typical maturity peri...
4
cards
Revised Cards
What is regulation t 1,
What is the initial margin requir...,
Under regulation t what triggers ...
62
cards
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SIE
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