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Adam Gravitt
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Decks in this class (20)
Ch. 1: Overview of Market Participants and Market Structure
A _____ is any person that execut...,
Is nasdaq a securities exchange r...,
Which department of a broker deal...
61
cards
Ch. 2: Overview of Regulation
What is the name thats given to a...,
What us government agency created...,
Identify the acronym sro
79
cards
Ch. 3
What are the volume limitations o...,
Regarding rights options and warr...,
Define control stock
69
cards
Ch. 4: Introduction to Debt Instruments
What is the maturity type where a...,
The formula for finding conversio...,
For a bond what does a call featu...
47
cards
Ch. 5
Municipal bond interest is exempt...,
How does the dutch auction set th...,
What is a grant anticipation note
111
cards
Ch. 6
Define basis,
A yield has gone from 344 to 353 ...,
What is the formula for calculati...
61
cards
Ch. 7
Whats the advantage of reinvestin...,
On monday at 2pm a customer place...,
Clients redeeming mutual fund sha...
130
cards
Ch. 8
In a qualified annuity how is the...,
What is the expense risk charge o...,
At annuitization payout what will...
72
cards
Ch. 9
Is income generated by a limited ...,
What program generates no cash fl...,
In a limited partnership which pa...
44
cards
Ch. 10 Options
The maximum expiration for standa...,
By what time must equity options ...,
Consider the following bnb jan 30...
78
cards
Ch. 11 Offerings
May an rr modify a prospectus,
All securities sold in the primar...,
To issue securities under rule 14...
149
cards
Ch. 12
Buy limit orders are placed _____...,
If a registered representative re...,
A ________________________ order ...
67
cards
Ch. 13
Restricted stock may not be sold ...,
If a customer buys a municipal bo...,
A stockholder who allows a bd to ...
60
cards
Ch. 14: Customer Accounts
Anyone with ________ income may c...,
The ________________ agreement de...,
Hank age 71 has a roth ira what p...
170
cards
Ch. 15 Compliance
What items are acceptable as proo...,
If a client refuses to provide ce...,
Describe the term structuring as ...
121
cards
Ch. 16
Give some examples of bd practice...,
While waiting for her train an rr...,
True or false bds and their emplo...
96
cards
Ch. 17
If a trainee fails a finra exam o...,
Candidates who have failed a qual...,
True or false the finop is respon...
66
cards
Ch. 18
True or false the findings of an ...,
Who should a client contact if sh...,
_____ is the msrb gift rule limit...
88
cards
Ch. 19
The __________________ is the rat...,
List some examples of cyclical st...,
Which short term interest rate is...
62
cards
Ch. 20
Strategic asset allocations assum...,
If the economy is experiencing a ...,
To what risks would treasury bond...
18
cards
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SIE
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