Find Flashcards
Make Flashcards
Why It Works
More
Educators
Businesses
Academy
About

Log In
Get Started

Brainscape's Knowledge Genome^TM

Browse over 1 million classes created by top students, professors, publishers, and experts.

Entrance Exams
Professional Certifications
Foreign Languages
Medical & Nursing
Science
English
Humanities & Social Studies
Mathematics
Law
Vocations
Health & Fitness
Business & Finance
Technology & Engineering
Food & Beverage
Fine Arts
Random Knowledge

See full index

Series 65 > Domain 3: Client Investment Recommendations & Strategies (30%) > Flashcards

Domain 3: Client Investment Recommendations & Strategies (30%) Flashcards

Study These Flashcards

You may prefer our related Brainscape-certified flashcards:

Series 65 flashcards

1

Q

A

How well did you know this?

1

Not at all

2

3

4

5

Perfectly

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

Key Links
Subjects
Company
- About Us
- Earn Money!
- Academy
- Swag Shop
- Contact
- Terms
- Podcasts
- Careers
Find Us

Brainscape helps you reach your goals faster, through stronger study habits.
© 2024 Bold Learning Solutions. Terms and Conditions