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Series 65 > Part 4 > Flashcards

Part 4 Flashcards

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Series 65 flashcards
1
Q

JTWROS

A

equal ownerships, pass to survior

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2
Q

Tennis in common

A

can be unequal, passes to estate

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3
Q

Tenancy by the entirety

A

limited to spouses, permission needed for sale or gift, primarily for real estate

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4
Q

unlimited number of members

A

LLC

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5
Q

taxed like a partnership

A

LLC

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6
Q

easy to dissolve

A

LLC

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7
Q

S Corp

A

Limited liability

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8
Q

100 shareholder

A

S Corp

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9
Q

Risk limited to investment

A

C corp

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10
Q

corp is a taxable entity

A

C corp

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11
Q

raising large amounts of capital

A

c corp

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12
Q

Transfer on death

A

avoids probate on first to die

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13
Q

Strategic asset allocation

A

long term

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14
Q

tactical asset allocation

A

short term

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15
Q

buys when others selling

A

contrarian

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16
Q

runs hundreds of thousands of trails based on varying factors: rate of return, inflation rates and interest rates

A

Monte Carlo Simulation

17
Q

borrow or lend money at the risk free rate of return

A

Capital market theory components

18
Q

expected return and variability

A

capital market theory components

19
Q

diversify by using securities with a low or negative correlation

A

Modern Portfolio theory

20
Q

used to determine the required rate of return & systematic risk

A

Capital Asset Pricing Model

21
Q

Captial asset pricing Model

A

Risk Free rate + B(market Return - RF)

22
Q

All investor have equal access to the same market information, Cant beat the market

A

Efficient market hypo

23
Q

Weak form

A

information everyone knows: technical analysis

24
Q

Semi-strong form

A

the information available with some effort, company financials, fundamental analysis

25
Q

Strong form

A

the information available to insiders, no benefit

26
Q

Stock position plus option position

A

hedging

27
Q

using leverage

A

margin

28
Q

High-Frequency Trading

A

Proprietary trading using high-speed systems to monitor and submit large numbers of orders to the market

29
Q

Dark pools of liquidity

A

institutional traders in large blocks of trades without impact to public quotes or prices

30
Q

Measures risk adjusted return

A

sharp ratio

31
Q

Standard and Poors 400

A

400 Mid-cap stocks

32
Q

Russell 2000 indec

A

2000 small cap stocks

33
Q

EAFE

A

europe, australasia, and far east

34
Q

Wilshire 5000

A

broadest

3500

35
Q

529

A

No age limit for contribution or withdrawls

no earning limitations

10% penalty

may roll over to anther state plan once per 12m onths

states set max limits

assets under the control of account owner

36
Q

UGMA/UTMA

A

one child per owner

irrevocable

no limit to gift size

37
Q

coverdell ESA

A

after tax

2000 max a year

contributions may be made untill 18th birthday

earning limits

use before 30 otherwise taxed

Series 65 (4 decks)

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