This class was created by Brainscape user brett mayne. Visit their profile to learn more about the creator.
By:
brett mayne
- decks
- flashcards
- learners
Decks in this class (28)
videos series 7
Performance compensation,
Cash referral soliciters under in...,
What are soft dollars and what ar...
26
cards
Videos section 6
Disclosure of capacity,
Agency cross transaction,
Bd conflict of interest
34
cards
Unit 1
Ia under investment advisor act 1940,
Investment consoul,
Release ia 1092
26
cards
Video unit 20
Strategic asset allocation,
Tactical asset allocation,
Market cap breackdown
21
cards
unit 19
Family balance sheet,
Income statement,
Investment constraints
7
cards
unit 13
Bond pricing,
Current yield,
Parity shortcut
12
cards
unit 14
3 categories of investment companies,
Requirements for investment compa...,
Shareholder rights to vote
24
cards
unit 18
Opening account for natural person,
Tenants by entirety,
Sole propreetorship
21
cards
unit 24/5
Catch up provision age,
Ira contribution limit,
Spousal ira
41
cards
final
Brochure rules,
Part 1a annual amendment must be ...,
Third party solicitors must provi...
83
cards
Series 66 take 2
Person,
3 prong test to determine if some...,
Investment counsel
32
cards
Series 66 client investment recommendations
It is very common for a broker de...,
Which of the following methods of...,
It is deemed to be an assignment ...
117
cards
Unit 2
Iar exclusions state,
Iar exemptions,
Iar registation process
5
cards
unit 3
Securities exchange act 1934,
Bd,
Bds generally register
7
cards
unit 10
Rule of 72,
Npv,
Irr
14
cards
unit 15
Variable annuities purchase,
Index annuity,
Determine amount to be credited w...
23
cards
unit 17
Dpp,
Benefits of dpp,
Strucutre of dpp
10
cards
unit 23
Nominal yield also called,
Current yield,
Yield to maturity
19
cards
unit 12
Voting rights,
Stock dividend,
Adr represents
14
cards
unit 22
Cash account,
Retirement and custodial can only...,
Reg t
29
cards
unit 21
Tax on income,
Whats the best status to be used ...,
Once you hit age 65
41
cards
unit 4
Primary transaction,
Non issuer
2
cards
Unit 5
Offer,
Sale,
What is considered both an offer ...
16
cards
unit 11
Liquidation priority
1
cards
unit 16
Leaps may be written for up to,
Preemptive rights,
Warrant
9
cards
Unit 4
A registration statement for a se...,
The securities act of 1933 someti...,
Antifraud provisions apply to
7
cards
unit 10
Comparing alpha without all the info,
Compound interest
2
cards
BL test march
Internal rate of return,
Capital needs analysis is for,
Covered call
6
cards
More about
Series 66 take 2
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study brett mayne's Series 66 take 2 flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Series 66
- 6 decks
- 894 flashcards
- 1,325 learners
Decks:
1 Usa Broker Dealers Agents, 2 Investment Advisers Ethics, 3 Equity Fixed Income, And more!
Series 66
- 16 decks
- 226 flashcards
- 1 learners
Decks:
Unit 1 Types Characteristics Of Equity S, Unit 2 Types Characteristics Of Fixed In, Unit 3 Pooled Investments, And more!
Series 66 Self Study
- 22 decks
- 554 flashcards
- 18 learners
Decks:
Chapter 1 Federal Securities Regulations, Chapter 2 Sections 1 6 State Regulation, Chapter 2 Continued, And more!
Anatomy & Physiology Series
- 39 decks
- 1801 flashcards
- 42 learners
Decks:
Surface Anatomy, Histology, Muscles Of The Axial Skeleton, And more!
