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Griffin Horne
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Decks in this class (19)
Chapter 1- Equity securities 10-15 questions
What two sides are the investment...,
What is a security,
Debt security
79
cards
Chapter 2- Debt Securities 15-25 questions
Most common issuers of debt secur...,
Senior security,
Funded debt
56
cards
Chapter 2- Debt Securities Continued 16-25
Us government and agency securities,
T bills,
Treasury notes
55
cards
Chapter 3- Municipal Securities 30-40 questions
Municipal bonds,
Municipal bond taxation,
Issues of municipals
77
cards
Chapter 3: Municipal Securities Rules And Regulations
Securities act of 1975,
Municipal finance professional,
Three categories of msrb rules
24
cards
Chapter 4 Options 25-30 Questions
Basics of an option,
Equity options,
Underlying securities of an option
80
cards
Chapter 6- Margin Accounts 3-7 Questions
2 types of margin accounts,
Documents in a margin agreement,
Regulation t form the securities ...
35
cards
Chapter 7- Issuing Securities 10-15 questions
Securities act of 1933,
Securities act of 1934,
Registration of securities
59
cards
Chapter 5- Customer Accounts 15-25 Questions
New account form,
Know your customer rules,
Usa patriot act 2001
49
cards
Chapter 8- Trading securities 20-25 questions
Basics of the securities exchange...,
Composition of sec,
Registration of exchanges and firms
87
cards
Chapter 9- Brokerage Support Services 15-20 questions
Steps for processing a securities...,
Other departments involved in trade,
Other people may care
41
cards
Chapter 10: Investment Company Products 17-20 questions
What is an investment company,
Investment companies act of 1940,
Face amount certificate company
79
cards
Chapter 11- Retirement Plans 5-10 Questions
Qualified retirement plans,
Nonqualified plans,
Nonqualified deferred compensatio...
28
cards
Chapter 12- Variable Annuitie 5-10 Questions
Annuity,
Fixed annuity,
Variable annuity
24
cards
Chapter 14- Economics And Analytics 15-20 Pages
Economics,
Business cycles,
Us commerce department definition...
69
cards
Chapter 13- Direct Participation Programs 5-12 Questions
Definition of a direct participat...,
Limited partnerships,
Tax reporting
32
cards
Chapter 15- Ethics, Recommendations And Taxation
Rule makers for securities industry,
Customer ethics and responsibilities,
Ethical business practices
82
cards
Chapter 16- US Government and State Rules And Regulations 15-20 Qs
The securities act of 1933,
Securities exchange act of 1934,
Tender offers
27
cards
Chapter 17- SEC And sRO Rules And Regs 15-20
Securities and exchange commission,
Associated persons,
Fingerprinting
48
cards
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Series 7- Passed with 83%
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