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J. H.
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Decks in this class (20)
Terms
10 k,
10 q,
12b 1 fee
113
cards
Chapter 1 - Equity Securities
Common stock,
Main reasons for investing,
Risk reward potential of investing
55
cards
Chapter 2 Debt Securities
Convertible bond price movement c...,
What would a company use to stabi...,
Bonds par value
72
cards
Chapter 3- Equity Options
Options,
Call option,
Put options
131
cards
Chapter 4- Investment Companies
What is an investment company,
Advantages and design of investme...,
Classification of investment comp...
103
cards
Chapter 5- Investment Banking
Investment bankers,
Issuers,
Primary vs secondary distribution
53
cards
Chapter 6- Federal Regulations
Securities exchange act of 1933,
Securities exchange act of 1934,
Defined as securities under the 1...
57
cards
Chapter 7 - Securities markets
Different types of orders can be ...,
Market order,
Market orders at the opening
109
cards
Chapter 8 - Customer Accounts
Cold calling can only be done bet...,
When cold calling we are required...,
If request the caller can be plac...
89
cards
Chapter 9- Cash and margin accounts
Two types of accounts,
Cash account,
Margin account
53
cards
Chapter 10- Self Regulatory Organizations
Securities and exchange commissio...,
Sec jurisdiction,
Self
62
cards
Chapter 11- Basics of Life Insurance and Variable Annuities
Life insurance premiums and taxes,
Examples of life insurance policies,
Greatest risk with variable life ...
27
cards
Chapter 12- Retirement Plans and Education Savings Plans
Can be invested in your ira,
Can not be invested in your ira,
Inadvisable investments in your ira
26
cards
Chapter 13- Federal Government Securities
T bills,
T notes,
T bonds
25
cards
Chapter 14- Municipal Bond Basics
Minicipal bonds are issued by,
General obligation gos bonds,
Revenue bonds
60
cards
Chapter 15 - Municipal Bond taxation, underwriting, and the secondary market AND Chapter 16 - Municipal Bond Rules and Regulations
Interest on municipal bonds,
Corporate equivalent yield,
Current yield on municipal bond
71
cards
Chapter 17 - Taxes
Long term capital gains,
Long term capital gains are repor...,
Short term capital gains are taxe...
17
cards
Chapter 18- Direct Participation Programs
Direct participation programs,
General partners,
Limited partner
63
cards
Chapter 19- Securities Analysis
Customers who want to minimize ri...,
Suitable portfolio of a pension f...,
Capital asset pricing model capm
53
cards
Chapter 20- Investment Recommendations and Strategies
Finra rule 2111,
Factors to be considered when mak...,
Suitability rule requires that th...
12
cards
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Series 7
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