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Decks in this class (12)
Investment Companies
Investment company act of 1940 1,
Investment advisers act of 1940 2,
Fixed unit investment trust uit 3
19
cards
Mutual Fund Investment Objectives, Valuation, Sales Charge
No load mutual fund shares 1,
Distribution of mutual fund shares 2,
Equity funds 3
22
cards
Variable Annuities
Annuity 1,
Fixed annuity 2,
Variable annuity 3
9
cards
Individual and Corporate Retirement Accounts
0
cards
Employee Conduct and Reportable Events
Churning 1,
Reverse churning 2,
Capping 3
20
cards
Customer Recommendations, Professional Conduct, and Taxation
Making a suitable recommendation 1,
How to obtain an income focused i...,
How to obtain a growth focused in...
24
cards
Recommendations
Treasury bill 1,
Ginnie mae pass through certifica...,
Treasury strip 3
5
cards
Securities Industry Rules and Regulations
Uniform practice code 1,
Code of procedure 2,
Code of arbitration 3
4
cards
All Random
Issuer s bond counsel 1,
A mutual fund representative may ...,
Fiscal policy is controlled by 3
25
cards
Communications with the Public
What is regulation best interest ...,
What is a customer relationship s...
2
cards
Intro to Debt Securities
Bearer bonds 1,
Principal only bond 2,
Fully registered 3
17
cards
Registration of Agents and Continued Education
Forum u4 and hiring 1
1
cards
More about
SIE Flashcards
- Full test name Securities Industry Essentials
- Test acronym SIE
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