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Series 65 (My Own) > UNIT 4: Regulation of Securities and Issuers > Flashcards

UNIT 4: Regulation of Securities and Issuers Flashcards

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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

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