Brainscape's Knowledge GenomeTM

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


See full index

Series 63 > Securities > Flashcards

Securities Flashcards

You may prefer our related Brainscape-certified flashcards:
Series 63 flashcards
1
Q

Notes

A

Notes are a Security

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
2
Q

Stocks

A

Stocks are a security

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
3
Q

Treasury Stocks

A

Treasury Stocks are a security

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
4
Q

bonds

A

bonds are a security

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
5
Q

debentures

A

debentures are a security

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
6
Q

evidence of indebtedness

A

evidence of indebtedness is a security under USA

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
7
Q

certificates of interest or participation in a profit sharing agreement

A

certificates of interest or a participation in a profit sharing agreement are securities under USA

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
8
Q

collateral trust certificates

A

collateral trust certificates are securities

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
9
Q

preorganization certificates or subscriptions

A

pre organization certificates or subscriptions are securities

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
10
Q

transferable shares

A

transferable shares are securities

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
11
Q

investment contracts

A

investment contracts are securities

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
12
Q

voting trust certificates

A

voting trust certificates are securities

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
13
Q

certificates of deposit for a security (ADR’s not a Bank CD)

A

certificates of deposit for a security (ADR’s not a bank CD)

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
14
Q

certificates of interest or participation in an oil, gas, or mining title or lease or in payments out of production under such a title or lease

A

would be considered a security

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
15
Q

puts, calls, straddles, options or privileges on a serurity

A

are also considered securities

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
16
Q

certificates of deposit or groups or indexes of securities

A

are securities

17
Q

puts, calls, straddles, options, or privileges entered into on a national securities exchange relating to foreign currency

A

is a security

18
Q

any interest or instrument commonly known as a security

A

is a security

19
Q

certificates of interest or participation in, receipts of, guarantees of, or warrants or rights to subscribe to or purchase any of the above

A

are considered a security

Series 63 (8 decks)

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