This class was created by Brainscape user Ryan Stew. Visit their profile to learn more about the creator.
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Ryan Stew
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Decks in this class (14)
Series 66 - Key Formulas
How to calculate personal net wor...,
How to calculate discretionary ne...,
How to calculate conversion ratio 3
33
cards
Crunch Time : Chapter 1
What is the definition of a person 1,
Who must be registered when selli...,
Is an agent of an issuer of exemp...
4
cards
Crunch Time : Chapter 2
Can an agent whose securities reg...,
What can the term guarantee apply...,
Is universal life insurance consi...
11
cards
Crunch Time : Chapter 3
Blank 1,
What must happen before unregiste...,
Who must confirm a customer order...
23
cards
Crunch Time : Chapter 4
Blank 1,
How many credits of regulatory an...,
What is required for iars who are...
19
cards
Crunch Time : Chapter 5
What must federal covered investm...,
Who may investment advisers charg...,
What must an ia that s a partners...
18
cards
Crunch Time : Chapter 6
What should advisers ask for to m...,
What must investment advisers obt...,
Is receiving a list of investors ...
6
cards
Crunch Time : Chapter 7
What is required to be delivered ...,
Can agents sell new issues to inv...,
Under what conditions may investm...
28
cards
Crunch Time : Chapter 8
What can the administrator issue ...,
A gift of assessable stock is con...,
The exercise of a stock option is...
19
cards
Crunch Time : Chapter 9
What is a closed end fund priced ...,
How many calendar days must a mut...,
What are 12b 1 fees used for in m...
17
cards
Crunch Time : Chapter 10
What does the reasonableness stan...,
What must new customers of a brok...,
What does section 404 c of erisa ...
62
cards
Crunch Time : Chapter 11
What is the highest yield for a d...,
What is the highest yield for a p...,
How is a bond s nominal yield cou...
29
cards
Crunch Time : Chapter 12
What is a stop order 1,
What does a stop limit order beco...,
What does fundamental analysis in...
51
cards
Series 66 Terms to Know
Where must a bd register 1,
Where must an agent of a bd regis...,
Where must a federally covered ri...
56
cards
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Series 66
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