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Madison Jonas
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Decks in this class (97)
Official Flash cards
An order to buy a security that i...,
Street name,
An amendment enacted in 1938 to b...
375
cards
UNIT 1 QBANK
A convertible feature for preferr...,
What is the primary benefit for a...,
A corporation is issuing a bond w...
31
cards
UNIT 1 CHECKPOINT EXAM
Which of these securities would l...,
Jon owns 100 shares of the baysid...,
Mary owns 8 of doyle inc a public...
20
cards
UNIT 2 QBANK
An investor holds a 4 bond callab...,
A bond with a 45 stated yield mig...,
Regarding different types of debt...
20
cards
UNIT 2 CHECKPOINT EXAM
Your customer asks to buy a bond ...,
Which of these treasury securitie...,
An investor who is seeking income...
25
cards
UNIT 3 QBANK
Your customer has one position in...,
Someone who is short 1 august 35 ...,
Two investors have engaged in the...
30
cards
UNIT 3 CHECKPOINT EXAM
Mikayla is a big fan of seabird c...,
Which of the following securities...,
Which of the following positions ...
20
cards
UNIT 4 QBANK
A company has just conducted a st...,
A breakpoint sale isa the payment...,
A mutual fund has breakpoints at ...
21
cards
Unit 4 Checkpoint Exam
Under the investment company act ...,
Class b mutual fund shares are al...,
An investor can take advantage of...
20
cards
UNIT 5 QBANK
Which of the following is true fo...,
A hedge fund portfolio has been c...,
Intraday price changes due to nor...
30
cards
UNIT 5 CHECKPOINT EXAM
A reit that owns and operates an ...,
The primary risk associated with ...,
All of these are risks associated...
15
cards
UNIT 6 QBANK
An investor chooses to have a por...,
Which types of investments are mo...,
Which of the following statements...
30
cards
UNIT 6 CHECKPOINT EXAM
Five years ago thompson an invest...,
Your customer ivan owns a diversi...,
A strategy that blends various ty...
10
cards
UNIT 7 QBANK
Ensuring that the investing publi...,
Securities regulations that are c...,
A tombstone advertisement placed ...
40
cards
UNIT 7 CHECKPOINT EXAM
Which of these may be found in th...,
The abc chemical corporation wish...,
Gemco oil and gas a non nms stock...
15
cards
UNIT 8 QBANK
A corporation enlists the service...,
A market in which exchange listed...,
A fully disclosed broker dealera ...
40
cards
UNIT 8 CHECKPOINT EXAM
A business entity that performs t...,
A central physical marketplace wh...,
Secondary markets exist to do all...
10
cards
UNIT 9 QBANK
What is the name for the legal fr...,
If an associated person is barred...,
Which of the following pairs are ...
44
cards
UNIT 9 CHECKPOINT EXAM
Darrell has an individual account...,
Deanfield and chatham investments...,
Cooper and belle spouses have a c...
14
cards
UNIT 10 QBANK
Financial industry regulatory aut...,
Which of the following sets of fi...,
The uniform practice code upc est...
40
cards
UNIT 10 CHECKPOINT EXAM
Bob s discount brokerage has appl...,
Louise ripley is a customer of se...,
The authorities delegated to finr...
10
cards
UNIT 11 QBANK
Which of the following is a leadi...,
Which of the following can encour...,
Several months of slow economic g...
20
cards
UNIT 11 CHECKPOINT EXAM
The nation is experiencing a rapi...,
The most common way of measuring ...,
An extended period of little or n...
10
cards
UNIT 12 QBANK
Different degrees of inflation ca...,
Downturns in the business cycle o...,
Which of the following groupings ...
30
cards
UNIT 12 CHECKPOINT EXAM
Gdp turned negative in the first ...,
Which of these places the phases ...,
The nation has passed through ver...
5
cards
UNIT 13 QBANK
When the supply for money exceeds...,
Which of the following correctly ...,
Federal reserve member banks need...
70
cards
UNIT 13 CHECKPOINT EXAM
Of the standard federal reserve t...,
First amalgamated bank of buffalo...,
M1 is a measure of the value ofa ...
11
cards
UNIT 15 QBANK
Which of the following is a true ...,
Of the statements listed which be...,
To contract or slow economic grow...
50
cards
UNIT 15 CHECKPOINT EXAM
It would be reasonable to expect ...,
All of the following would decrea...,
In regards to fiscal policy which...
10
cards
MIDTERM EXAM
0
cards
UNIT 16 QBANK
What is the formula for calculati...,
A toy company is experiencing sud...,
All of the following would be con...
29
cards
UNIT 16 CHECKPOINT EXAM
Your customer ellesha places a se...,
A client entering a sell limit or...,
Narcissus inc a social media comp...
10
cards
UNIT 17 QBANK
Subject to market liquidity which...,
A customer is given a quote for a...,
What is the spread on a stock quo...
24
cards
UNIT 17 CHECKPOINT EXAM
An investor receives a quote of 4...,
An investor receives a quote of 3...,
To fill a customer buy order over...
5
cards
UNIT 18 QBANK
A client calls a registered repre...,
Blaine smith has owned xyz stock ...,
Which of the following is true re...
30
cards
UNIT 18 CHECKPOINT EXAM
A customer is long 400 shares of ...,
Two months ago your customer sold...,
Rep pete receives a call from his...
10
cards
UNIT 19 QBANK
Regular way settlement for common...,
Josie reese one of your clients w...,
When securities are bought and so...
30
cards
UNIT 19 CHECKPOINT EXAM
Good delivery of a stock certific...,
A trade of an equity option settl...,
A signature endorsement on a stoc...
10
cards
UNIT 20 QBANK
Which of the following best descr...,
All of the following are taxable ...,
Benjamin jackson bought 100 share...
50
cards
UNIT 20 CHECKPOINT EXAM
On march 3 the board of directors...,
Skye purchased 100 shares of more...,
Which of these is correct regardi...
10
cards
UNIT 21 QBANK
The securities and exchange commi...,
Proxy votinga allows the sharehol...,
Two years ago joshua ryan bought ...
30
cards
UNIT 21 CHECKPOINT EXAM
Snowflake resorts inc has announc...,
On august 20 of last year when th...,
Bigtel inc has been the only prov...
10
cards
UNIT 22 QBANK
All of the following accounts wou...,
A married couple opens a new acco...,
Under whose social security numbe...
40
cards
UNIT 22 CHECKPOINT EXAM
One difference between an utma ac...,
Sam malloy owns a small business ...,
Many investors like to put a tran...
10
cards
UNIT 23 QBANK
What is the penalty if any for ov...,
Which of the following are true o...,
What is a big advantage roth iras...
20
cards
UNIT 23 CHECKPOINT EXAM
A 73 year old client in the 25 in...,
Another term for a defined benefi...,
Andrea recently began working for...
5
cards
UNIT 24 QBANK
Which of the following transactio...,
Which of the following must prece...,
All of the following may be purch...
40
cards
UNIT 24 CHECKPOINT EXAM
Fee based accounts are appropriat...,
A customer of a broker dealer sel...,
When opening a new account with m...
10
cards
UNIT 25 QBANK
Which of the following publishes ...,
The usa patriot act s required cu...,
Firms must file a sar within how ...
50
cards
UNIT 25 CHECKPOINT EXAM
A suspicious activity report woul...,
The bank secrecy act requires tha...,
The three stage of money launderi...
9
cards
UNIT 26 QBANK
Your client janice thomas is an a...,
Considering a customer s nonfinan...,
Which of the following investment...
46
cards
UNIT 26 CHECKPOINT EXAM
Gerald is 78 years old he approac...,
Your clients spouses jared and jo...,
All of the following are elements...
5
cards
UNIT 27 QBANK
Which of the following scenarios ...,
There are two types of do not cal...,
All of the following are provisio...
40
cards
UNIT 27 CHECKPOINT EXAM
For institutional communication t...,
Finra rule 2210 on communications...,
The telephone consumer protection...
15
cards
UNIT 28 QBANK
Which of the following records mu...,
Which of the following records mu...,
Written customer complaints must ...
20
cards
UNIT 28 CHECKPOINT EXAM
Focus reports u 4 forms and order...,
Sennacherib partners a broker dea...,
Dwight was appointed a principal ...
8
cards
UNIT 29 QBANK
What dollar limit is placed on da...,
You have a client henry who does ...,
The penalties for trading on insi...
41
cards
UNIT 29 CHECKPOINT EXAM
The use of information that is ma...,
People who enter trades at or nea...,
All of these are steps that firms...
10
cards
Unit 30 QBank
Firms applying for financial indu...,
After receiving a written complai...,
Registered broker dealers must ha...
20
cards
UNIT 30 CHECKPOINT EXAM
Which of these is the most approp...,
Five years ago tom a resident of ...,
The sec implemented which of thes...
10
cards
UNIT 31 QBANK
When an employee is either termin...,
A u 5 form should be filed with t...,
An amended form u 5 must be filed...
10
cards
UNIT 31 CHECKPOINT EXAM
When a registered person terminat...,
Josephine takes and passes the se...,
On form u 5 all of the reasons fo...
5
cards
UNIT 32 QBANK
Each of the following activities ...,
A municipal finance professional ...,
When is the electronic filing of ...
40
cards
UNIT 32 CHECKPOINT EXAM
Harold a representative for seaco...,
Which of these are considered vio...,
After working for several years a...
15
cards
UNIT 01 Slides
Ars and preferred stock5 types st...
1
cards
UNIT 02 Slides
When selling under 1000 this is i...,
Memorize this chart,
167
cards
UNIT 03 Slides
160
cards
UNIT 04 SLIDES
109
cards
UNIT 05 SLIDES
83
cards
UNIT 06 SLIDES
26
cards
UNIT 07 SLIDES
91
cards
UNIT 08 SLIDES
54
cards
UNIT 09 SLIDES
35
cards
options
12
cards
UNIT 10 SLIDES
`,
38
cards
UNIT 11 SLIDES
60
cards
UNIT 12 SLIDES
10
cards
UNIT 13 SLIDES
24
cards
UNIT 14 SLIDES
21
cards
SLIDE 15 SLIDES
27
cards
UNIT 16 SLIDES
40
cards
UNIT 17 SLIDES
6
cards
UNIT 18 SLIDES
27
cards
UNIT 19 SLIDES
11
cards
UNIT 20 SLIDES
45
cards
UNIT 21 SLIDES
24
cards
UNIT 22 SLIDES
66
cards
UNIT 23 SLIDES
30
cards
UNIT 24 SLIDES
36
cards
UNIT 25 SLIDES
22
cards
UNIT 26 SLIDES
18
cards
UNIT 27 SLIDES
51
cards
UNIT 28 SLIDES
4
cards
UNIT 29 SLIDES
36
cards
UNIT 30 SLIDES
31
cards
UNIT 31 SLIDES
7
cards
UNIT 32 SLIDES
45
cards
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