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Leo O'Connor
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Decks in this class (12)
Laws, Regulations and Guidelines Overview
What rules govern the registratio...,
True or false blue sky laws apply...,
How is a firm acting if it is tra...
34
cards
State Registration of Securities
What instruments are used to faci...,
List the securities that are exem...,
Though some securities are exempt...
126
cards
State Regulation Governing Broker-Dealers and Agents
Is a bank whose trust department ...,
Is an individual who represents a...,
Is a sales assistant for a bd who...
74
cards
State Regulations Governing Investment Advisers and IA Representatives
Is a certified public accountant ...,
True or false a publisher of a fi...,
Is an attorney who exclusively pr...
134
cards
Federal Regulations Governing Investment Advisers
Is an organization that provides ...,
True or false according to the us...,
True or false an ia that has full...
98
cards
Investment Advisory Practices
What is not pertinent when openin...,
If a client gives little informat...,
What is soft dollar compensation
32
cards
Prohibited and Ethical Business Practices Under the USA
What three items must be specifie...,
True or false principals must app...,
May a wife enter trades in a husb...
101
cards
Administration of the USA
What are the justifiable reasons ...,
True or false a gift of assessabl...,
Is the payment of a stock dividen...
84
cards
Federal Securities Acts
What is the primary purpose of th...,
True or false the sec judges an o...,
Indications of interest are _____...
73
cards
Investment Advisory Clients
True or false all corporate offic...,
A ___________________ is required...,
Municipal bond interest is exempt...
181
cards
Investment Vehicles
True or false when interest rates...,
Given a yield change ____________...,
Which interest rates are generall...
190
cards
Portfolio Management and Investment Risk
___________ stock fluctuates with...,
____________ stock is resistant t...,
What is the proper order of liqui...
237
cards
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Series 66
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