This class was created by Brainscape user Lori Avant. Visit their profile to learn more about the creator.
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Lori Avant
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Decks in this class (21)
Balance Sheet
What is the current rato,
What is quick ratio,
What are current assets
10
cards
Random
What correlates with the least vo...,
What is arithmetic mean,
What does negative correlation ad...
17
cards
Broker/Dealer
What is a dealer,
What is a broker,
Define dealer
10
cards
Random #2
What is the mode,
Name of a beneficiary in a life e...,
Who receives top priority during ...
16
cards
Random #3
If you want to purchase a mutual ...,
What kind of security is most oft...,
What money market instrument does...
17
cards
Random #4
In the event of a bankruptcy who ...,
When are coupon payments made,
When do t notes mature
20
cards
Random #5
Price paid for a bond,
Above par,
Below par
18
cards
Random #6
Dividend growth calculation,
What is stock worth if you know t...,
Gordon growth model
16
cards
Random #7
What is corpus,
In even of a death will will name,
In the event of death the state w...
16
cards
Random #8
Stock bashing,
Bear raiding,
Interest rate swap
18
cards
Random #9
An increase in interest rates may...,
Auditor statements on financial s...,
Deshawn is reviewing the past per...
16
cards
Random #10
When a donor makes a gift of secu...,
When a company repurchases its ow...,
What is a wash sale
18
cards
Acts, Rules and Laws
Finra 4370,
Rule 156,
Rule 498
7
cards
Random #11
Who is not considered a person,
Broker dealer net worth requireme...,
All registrations of persons and ...
27
cards
Random #12
Customer made check out inadverte...,
Can i borrow for a customer,
Blanket recommendations
25
cards
Pooled Investments
Mutual fund,
Advantage,
Equity fund
13
cards
Random #13
The total cost the price of an op...,
Under the guidelines of subchapte...,
The lowest potential yield that c...
22
cards
Technical Risk Rations
What are the 5 technical risk ratios,
Alpha,
Beta
19
cards
Random 14
What is a stock or funds return i...,
What is the difference between an...,
What is 12b 1 fee
13
cards
Economics
Too much chasing too few goods is,
Which investments are better as a...,
Constant dollar
21
cards
Random #15
Is a commercial bank considered a...,
What is typical true of guarantee...,
Sec rule 10b 10
9
cards
More about
Series 65
- Class purpose General learning
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