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SIE Flashcards

This class was created by Brainscape user Unknown Unknown. Visit their profile to learn more about the creator.

By: Unknown Unknown
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Decks in this class (12)

Investment Companies
Investment company act of 1940,
Investment advisers act of 1940,
Fixed unit investment trust uit
19  cards
Mutual Fund Investment Objectives, Valuation, Sales Charge
No load mutual fund shares,
Distribution of mutual fund shares,
Equity funds
22  cards
Variable Annuities
Annuity,
Fixed annuity,
Variable annuity
9  cards
Individual and Corporate Retirement Accounts
0  cards
Employee Conduct and Reportable Events
Churning,
Reverse churning,
Capping
20  cards
Customer Recommendations, Professional Conduct, and Taxation
Making a suitable recommendation,
How to obtain an income focused i...,
How to obtain a growth focused in...
24  cards
Recommendations
Treasury bill,
Ginnie mae pass through certificate,
Treasury strip
5  cards
Securities Industry Rules and Regulations
Uniform practice code,
Code of procedure,
Code of arbiration
4  cards
All Random
Issuers bond counsel,
A mutual fund representative may ...,
Fiscal policy is controlled by
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,
Principal only bond,
Fully registered
17  cards
Registration of Agents and Continued Education
Forum u4 and hiring
1  cards

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SIE Flashcards

  • Class purpose General learning

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