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Series 65
> 4.C Regulation of Broker-Dealers > Flashcards
4.C Regulation of Broker-Dealers Flashcards
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Series 65
flashcards
Series 65
(39 decks)
Domain 1: Economic Factors & Business Information (15%)
1.A Basic Economic Concepts
1.B Financial Reporting
1.C Analytical Methods
1.D Types of Risks
Domain 2: Investment Vehicle Characteristics (25%)
2.A Types and Characteristics of Cash and Cash Equivalents
2.B Types of Fixed Income Securities
2.C Characteristics and Valuation Factors of Fixed Income Securities
2.D Types of Equity Securities
2.E Characteristics of Equity Securities
2.F Methods Used to Determine the Value of Equity Securities
2.G Characteristics of Pooled Investments
2.H Types of Derivative Securities
2.I Characteristics of Derivative Securities
2.J Alternative Investments
2.K Insurance Based Products
2.L Other Assets
Domain 3: Client Investment Recommendations & Strategies (30%)
3.A Type of Client
3.B Client Profile
3.C Capital Market Theory
3.D Portfolio Management Strategies, Styles and Techniques
3.E Tax Considerations
3.F Retirement Plans
3.G Employee Retirement Income Security Act (ERISA) Issues
3.H Special Types of Accounts
3.I Ownership and Estate Planning Techniques
3.J Trading Securities
3.K Portfolio Performance Measures
Domain 4: Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices (30%)
4.A Regulation of Investment Advisers, Including State-Registered Advisers and Federal Covered Advisers
4.B Regulation of Investment Adviser Representatives
4.C Regulation of Broker-Dealers
4.D Regulation of Broker-Dealer Agents
4.E Regulation of Securities and Issuers
4.F Remedies and Administrative Provisions
4.G Communication with Clients and Prospects
4.H Ethical Practices and Fiduciary Obligations
