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Series 65 flashcards

Series 65 (FIN-451)

This class was created by Brainscape user Evan Hoehne. Visit their profile to learn more about the creator.

By: Evan Hoehne
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Decks in this class (21)

Unit 1
To be eligible to cast a vote whe...,
Nonqualified stock options,
Bargain element on nonqualified s...
7  cards
Unit 2
Characteristics of general obliga...,
Indenture,
How current yield is calculated
6  cards
Unit 3
What percentage of board of direc...,
Who safeguards the securities hel...,
Which funds generally come with a...
17  cards
Unit 8
Registration statements for secur...,
How uniform securities act define...,
What rule 506 b of regulation d does
19  cards
Unit 9
Definition of investment adviser,
Three non persons,
Aspects of three prong test
44  cards
Unit 10
Who investment adviser representa...,
What initial applications for reg...,
When an investment adviser repres...
14  cards
Unit 11
Registration of Broker-Dealers and Agents
44  cards
Unit 12
Sale,
Offer to sell,
Assessable stock
43  cards
Unit 13
Communications with Customers/Prospects
38  cards
Unit 14
What hedge clauses may not be use...,
Terms the upia specifically uses ...,
Compensation details that must be...
35  cards
Unit 16
Types of Clients
69  cards
Unit 17
Client Profile
2  cards
Unit 18
Retirement Plans
25  cards
Unit 19
Investment Risks
6  cards
Unit 20
Analytical Methods
69  cards
Unit 22
Performance Measures
18  cards
Unit 23
Trading Securities
44  cards
Unit 24
Insurance-Based Products
44  cards
Unit 15
Interest received from municipal ...,
What state specific municipal bon...,
3  cards
Unit 7
When a corporation is able to pur...
2  cards
Unit 6
When yield spread between corpora...,
2  cards

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Series 65 (FIN-451)

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