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Decks in this class (32)
Unit 1: Individal Securities: Equities
What is a security 1,
Commodity vs security 2,
4 parts of howey test 3
64
cards
Unit 2: Individual Securities - Debt
What is par value of most securit...,
What are the 2 types of maturities 2,
What is a term bond 3
31
cards
Unit 3: Derivatives
What is a derivative 1,
What are futures classified as 2,
Amount paid for or received for a...
43
cards
Unit 4: Packaged Investments
What are packaged investments 1,
What is an investment company 2,
Which regulations must investment...
53
cards
Unit 5: Other Investment Vehicles
What is a 529 plan 1,
What are the 2 types of 529 plans 2,
What do prepaid tuition plans do 3
42
cards
Unit 6: Types of Risk
General risk principle 1,
Two general categories of risk 2,
What is systemic risk 3
22
cards
Unit 7: The Securities Act of 1933 and the Primary Markets
What is the primary market 1,
What is the secondary market 2,
Capital markets is a term for 3
53
cards
Unit 8: The Securites Exchange Act of 1934 and the Secondary Market
Liquidity is 1,
In primary markets who is the iss...,
In secondary markets who is the i...
30
cards
Unit 9: Government Regulators
What is the primary securities in...,
What is finra 2,
What was the purpose of the secur...
22
cards
Unit 10: The Self-Regulatory Organizations
Financial industry regulator auth...,
Finra rules broken down into 4 se...,
What are finra conduct rules 3
8
cards
Unit 11: Economic Indicators
What is gross domestic product gdp 1,
What is the consumer price index ...,
What is gross national product gnp 3
11
cards
Unit 12: Business Cycles
What period is the recovery phase 1,
What is the expansion phase 2,
Stages of business cycle 3
10
cards
Unit 13: The Federal Reserve
Federal reserve board s goal is to 1,
What is m1 2,
What is m2 3
14
cards
Unit 14: Fiscal Policy and Trade
What is monetary policy 1,
What is fiscal policy 2,
Fiscal policy depends on 3
11
cards
Unit 15: Industries and Companies
4 broad classes of industries 1,
Cyclical industries are 2,
Examples of cyclical industries 3
20
cards
Unit 16: Placing a Trade
What is bullish sentiment 1,
What is bearish sentiment 2,
What is a market order 3
15
cards
Unit 17: Quotes
What is a quote 1,
What is the bid 2,
What is the ask 3
6
cards
Unit 18: Position, Strategies, and Trade Authority
Selling a security one does not o...,
Loss potential for a short shelle...,
What is a short against the box 3
11
cards
Unit 19: Settlement
What is settlement 1,
What settles t 1 2,
What settles t 2 3
9
cards
Unit 20: Investment Returns
What is the ex dividend date for ...,
What is yield 2,
Current yield formula 3
15
cards
Unit 21: Corporate Actions
Stock dividends 1,
What is a forward split 2,
What is reverse split 3
11
cards
Unit 22: Nonqualified accounts
Non qualified accounts are 1,
Joint tenants with right of survi...,
Tenants in common tic 3
24
cards
Unit 23: Qualified Plans
Contributions to iras are made ou...,
Traditional ira have catch up con...,
Things approved for investment in...
17
cards
Unit 24: Account Features
What is a cash account 1,
What is margin buying 2,
What is hypothecation 3
15
cards
Unit 25: AML/BSA
What did bank secrecy act establi...,
What is placement 2,
3 basic stages of money laundering 2
9
cards
Unit 26: General Stability
Examples of financial circumstanc...,
Examples of nonfinancial circumst...,
What is an investment recommendat...
8
cards
Unit 27: Communications with the Public
3 categories of communications in...,
What is institutional communicati...,
What is retail communication 3
5
cards
Unit 28: Record keeping requirements under SEC 17a-3 & 4
Records that are kept for life of...,
Records that are kept for 6 years 2,
How long must complaints be held 3
4
cards
Unit 29: Prohibited Activities
What is defined as insider 1,
Tipper tippee insider trading 2,
Penalties for insider trading 3
17
cards
Unit 30: Associating with a Broker-Dealer
Form u 4 1,
Fingerprint requirements 2,
Who can be exempt from finger pri...
6
cards
Unit 31: Terminating Association with a Broker-Dealer
What is form u 5 used for 1,
Retesting time limit 2,
Military service effect on license 3
3
cards
Unit 32: Ongoing Exceptions of Associated Persons
Continuing education requirements 1,
What is the firm element ce 2,
What is the regulatory element ce 3
13
cards
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