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David Giles
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Decks in this class (39)
Domain 1: Economic Factors & Business Information (15%)
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1.A Basic Economic Concepts
The central bank of a country dec...,
A company s financial statements ...,
A financial analyst is assessing ...
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1.B Financial Reporting
A potential investor is reviewing...,
A company has just released its a...,
A financial analyst is comparing ...
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1.C Analytical Methods
A company is considering two inve...,
In a set of investment returns wh...,
A portfolio manager is analyzing ...
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1.D Types of Risks
Which type of risk is also known ...,
If a company experiences a lawsui...,
When an investor forgoes the pote...
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Domain 2: Investment Vehicle Characteristics (25%)
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2.A Types and Characteristics of Cash and Cash Equivalents
Maria is considering investing a ...,
John wants to park some excess ca...,
Sarah is looking for a short term...
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2.B Types of Fixed Income Securities
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2.C Characteristics and Valuation Factors of Fixed Income Securities
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2.D Types of Equity Securities
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2.E Characteristics of Equity Securities
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2.F Methods Used to Determine the Value of Equity Securities
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2.G Characteristics of Pooled Investments
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2.H Types of Derivative Securities
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2.I Characteristics of Derivative Securities
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2.J Alternative Investments
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2.K Insurance Based Products
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2.L Other Assets
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Domain 3: Client Investment Recommendations & Strategies (30%)
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3.A Type of Client
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3.B Client Profile
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3.C Capital Market Theory
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3.D Portfolio Management Strategies, Styles and Techniques
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3.E Tax Considerations
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3.F Retirement Plans
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3.G Employee Retirement Income Security Act (ERISA) Issues
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3.H Special Types of Accounts
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3.I Ownership and Estate Planning Techniques
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3.J Trading Securities
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3.K Portfolio Performance Measures
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Domain 4: Laws, Regulations, and Guidelines Including Prohibition on Unethical Business Practices (30%)
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4.A Regulation of Investment Advisers, Including State-Registered Advisers and Federal Covered Advisers
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4.B Regulation of Investment Adviser Representatives
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4.C Regulation of Broker-Dealers
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4.D Regulation of Broker-Dealer Agents
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4.E Regulation of Securities and Issuers
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4.F Remedies and Administrative Provisions
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4.G Communication with Clients and Prospects
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4.H Ethical Practices and Fiduciary Obligations
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Series 65
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Looking for something else?
Series 65
- 6 decks
- 895 flashcards
- 1,980 learners
Decks:
1 Usa Broker Dealers Agents, 2 Investment Advisers Ethics, 3 Equity Fixed Income, And more!
Series 65
- 6 decks
- 880 flashcards
- 2 learners
Decks:
Usa Broker Dealers And Agents, Investment Advisers Ethics, Equity Fixed Income, And more!
