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Darius joseph
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Decks in this class (12)
Chapter 1 Exam
How does a corporation increase i...,
A firm that handles and is held r...,
Rule 147
79
cards
Chapter 2 Equity Securities
What is the maximum loss for a co...,
How much is in a round lot,
Which type of security must all c...
85
cards
SIE PRACTICE TEST (Mometrix)
What is considered an institution...,
What is considered general commun...,
When must political contributions...
10
cards
FINRA Practice Test
If a market maker posts a quote o...,
The computation of dollar prices ...,
In a period of low inflation and ...
11
cards
Chapter 3 Bond Basics and Terminology
What is a bond,
What is principal,
Whats a term bond structure
88
cards
Chapter 4 Features of Investment Companies
Investment company act of 1940,
Management companies,
Close end management company
41
cards
Chapter 5 Other Pooled investments
What is a municipal funds security,
What is a program disclosure docu...,
What are section 529 plans
60
cards
Chapter 6 Economic Measurements and Conditions
What are monopolistic market,
What is oligopolistic markets,
What is gdp
58
cards
Chapter 7 Customer Accounts
What information do broker dealer...,
What information should be requir...,
What happens when a customer refu...
91
cards
Chapter 7 Additional Questions
What does utma and ugma stand for...,
Whose social is used to open a ut...,
When does ownership transfer
69
cards
Chapter 8 Suitability and Prohibited Activities
What do you need to create a cust...,
What is disposable income,
What is discretionary income
96
cards
Chapter 9 SRO Regulatory Requirements
What are the membership qualifica...,
What does a principal do,
When does a wsp be reviewed
41
cards
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SIE
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