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Series 66 flashcards

Series 66

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

By: Justin Bettinger
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Decks in this class (12)

Chapter 1
When a firm acts as the middle pa...,
Nsmia national securities markets...,
When a firm trades out of it s ow...
32  cards
Chapter 2
Section 18b of the securities act...,
What is the basic definition of a...,
The nsmisa defines a sale how
8  cards
66 Key Concepts
Sec registration for and investme...,
Sec registration for and investme...,
Adv part 2 is broken into two hal...
12  cards
Retirment Plans
Which of the following statements...,
Which of the following statements...,
Section 457 plans are a for corpo...
11  cards
Education Savings Plans
What is the maximum yearly contri...,
What are the two types of educati...,
What is the maximum contribution ...
18  cards
Exam 1 Missed Questions
A broker dealer offers 4 summer p...,
Which statements are true about t...,
Which of the following persons mu...
34  cards
Exam Two Questions
A person makes an initial applica...,
If a corporation issues new stock...,
It is unethical business practice...
23  cards
Exam 3
A young couple wishes to save 50 ...,
Which statements are true regardi...,
One of the oldest portfolio strat...
12  cards
Exam 5
Investment advisory contracts mus...,
For bonds trading at a discount r...,
Which of the following statements...
13  cards
Investments
Which of the following options st...,
All of the following are standard...,
The writer of a call on a listed ...
44  cards
Portfolio/The Fixed Income Basics
Which of the following is not con...,
Market risk is the same as a syst...,
Standard deviation measures a var...
19  cards
Exam 6
An investment advisor rep quits h...,
Under the securities and exchange...,
And independent investment adviso...
18  cards

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Series 66

  • Class purpose General learning

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