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Kris Queen
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Decks in this class (18)
Regulatory entities agencies and market participants
Securities exchange act 1934,
Broker dealer may not claim regis...,
A b c
154
cards
SUITABLE RECOMMENDATIONS SUMMARY
0
cards
SALES PRACTICES
Break point sale
1
cards
CALENDAR DAYS
20,
30,
45
5
cards
BUSINESS DAYS
Same business day,
1 business day,
1 business days
5
cards
MONTHS
6 months,
13 months,
16 months
3
cards
Retirement plan contribution limits
Profit sharing,
401 k,
Keogh hr 10
11
cards
Qualified Plans Vs Non qualified Plans
Qualified plans or text deductibl...,
Qualified plans are irs approved ...,
Qualified plans have discriminati...
22
cards
Letter Of Intent
How long is a letter of intent go...,
Letter of intent,
Letters may be backdated up to a ...
3
cards
12B -1 Fee
What are 12b 1 fees,
The 12b 1 fee is deducted how often
2
cards
Mutual Funds Vs. Variable Annuities
Mutual funds have what type of co...,
Variable annuities have what type...,
Mutual funds need what type of li...
16
cards
9% of Test Overview of Regulatory Framework
0
cards
Practice Exam 2
When interest rates are falling w...,
A written promise made by a corpo...,
The three classifications establi...
55
cards
16%of Test Knowledge Of Capital Markets
What is not an acceptable choice ...,
During the cooling off period of ...,
When choosing to issue additional...
39
cards
31%of Test Understanding Trading Customer Accounts And Prohibited Activities
2 which of the following are avai...,
3 generally before borrowing from...,
5 which the following are not thr...
44
cards
44%of Test Investment Products And Their Risks
Which the following is true for d...,
Hedge funds,
6 once a dividend is initially de...
51
cards
Practice Exam 1
Which of the following statements...,
Real estate investment trusts reits,
45 puts are trading at 25 the cmv...
38
cards
2nd 100 Pages
Intrinsic value,
At the money,
Time value of money tv
86
cards
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SIE SELF STUDY
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