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Nick Wrobel
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Decks in this class (17)
Starting deck
What is an issuer,
Examples of issuers,
What is a broker dealer
4
cards
Primary and Secondary Markets
What is a primary market,
What is a secondary market,
Whats another name for the second...
106
cards
Equity Securities
Common stock can be classified how,
What is auth stock,
Are auth stock counted toward the...
75
cards
Debt Securities
What is the assumed par value for...,
Whats another name for the par value,
What are the different maturities...
56
cards
Investment Company and Insurance Based Products
Considerations for investment com...,
What are the three main types of ...,
Characteristics of a uit
43
cards
Other investment vehicles
What are considered derivatives,
Are futures considered secs,
What is an option
87
cards
Nonqualified Accounts
What are nonqualified accounts,
What happens when a indivi acc dies,
Joint accs are what
38
cards
Qualified Accounts - NonSponsored
What are qualified accounts,
Are iras technically qual accs,
Contribs to a trad ira can be use...
25
cards
Qualified Accounts - Sponsored
What are the two types of sponsor...,
What are defined benefit plans al...,
What are pension plans
9
cards
Account Features
For cash accs whats the settlemen...,
What are the payment expectations...,
What accs can only be cash accs
44
cards
Risk and Recommendations
Can you avoid systemic risk,
Types of sys risk,
What is interest rate risk
37
cards
Tax and Yield
Whats the equation for current yield,
Whats the formula for total return,
How can capital losses be used fo...
9
cards
Economics
What are some characteristics of ...,
What are signs of the trough,
What are signs of expansion
50
cards
Regulators
What does the sec reg,
What is fincen,
Is the abreviation for office of ...
24
cards
Regulatory Issues and Ethics
What is the dollar amount that,
What type of payment is the bank ...,
When must a currency transaction ...
29
cards
Prohibited Activities
What groups is finra worried abou...,
What are the two things done to h...,
Is simply asking a client for a t...
16
cards
Communication
0
cards
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SIE
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