Brainscape
Find Flashcards
Make Flashcards
Why It Works
More
Educators
Businesses
Tutors & resellers
Content partnerships
Academy
About
Educators
Teachers & professors
Content partnerships
Tutors & resellers
Businesses
Employee training
Content partnerships
Tutors & resellers
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 (My Own)
> UNIT 18: Type of Client > Flashcards
UNIT 18: Type of Client Flashcards
Study These Flashcards
You may prefer our related Brainscape-certified flashcards:
Series 65
flashcards
Series 65 (My Own)
(24 decks)
Unit 1: Regulation of Investment Advisers, Including State-Registered and Federal Covered Advisers
Unit 2: Regulation of Investment Adviser Representatives
UNIT 3: Regulation of Broker-Dealers and their Agents
UNIT 4: Regulation of Securities and Issuers
UNIT 5: Remedies and Administrative Provisions
UNIT 6: Communication With Clients and Prospects
UNIT 7: Ethical Practices and Fiduciary Obligations
UNIT 8: Basic Economic Concepts
UNIT 9: Financial Reporting
UNIT 10: Analytical Methods
UNIT 11: Types of Investment Risk
UNIT 12: Types and Characteristics of Equity Securities Including Methods Used to Determine Their Value
UNIT 13: Types and Characteristics of Fixed Income (Debt) Securities and Methods Used to Determine Their Value
UNIT 14: Types and Characteristics of Pooled Investments
UNIT 15: Insurance-Based Products
UNIT 16: Types and Characteristics of Derivative Securities
UNIT 17: Alternative Investments and Other Assets
UNIT 18: Type of Client
UNIT 19: Client Profile
UNIT 20: Portfolio Management Styles, Strategies, and Techniques
UNIT 21: Tax Considerations
UNIT 22: Trading Securities
UNIT 23: Performance Measures
UNIT 24: Retirement Plans Including ERISA Issues and Educational Funding Programs
