Gen Flashcards
1
Q
6 non securities
A
- Fixed insurance, endowment policy or annuity contract
- interest in a retirement plan, such as an IRA or 401k plan
- collectibles
- commodities such as precious metals and grains, including futures and forward contracts
- condominiums used as a personal residence
- currency
2
Q
Reg T
A
3
Q
SEC Rule 204A-1
A
4
Q
Form ADV 1a
A
5
Q
Form ADV 1b
A
6
Q
Form ADV 2a
A
7
Q
Form ADV 2b
A
8
Q
Capital Needs Analysis
A
Used when determining if a family would benefit from life insurance and how much would be required if a member were to pass away soon.
Volatility does not matter
9
Q
A
